Compliance Advisory Content

[16020] May 6, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-03 COMPLIANCE ADVISORY COMMITTEE No. 34-03 SEC RULES COMMITTEE No. 43-03 SMALL FUNDS COMMITTEE No. 16-03 RE: DRAFT ICI COMMENT LETTER ON SEC PROPOSAL REGARDING...

[15995] May 2, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 16-03 COMPLIANCE ADVISORY COMMITTEE No. 32-03 INTERNATIONAL MEMBERS No. 15-03 OPERATIONS MEMBERS No. 14-03 SEC RULES MEMBERS No. 57-03 SMALL FUNDS MEMBERS No. 21-03 RE: SEC AND TREASURY ADOPT FINAL CUSTOMER IDENTIFICATION...

URGENT/ACTION REQUESTED [15996] May 2, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 33-03 INTERNATIONAL COMMITTEE No. 29-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 20-03 MONEY LAUNDERING RULES WORKING GROUP No. 29-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 33-03 TRANSFER AGENT...

[15911] April 17, 2003 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 36-03 COMPLIANCE ADVISORY COMMITTEE No. 30-03 INVESTMENT ADVISER MEMBERS No. 14-03 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 7-03 SEC RULES MEMBERS No. 49-03 SMALL FUNDS MEMBERS No. 19-03 UNIT INVESTMENT TRUST MEMBERS...

[15890] April 11, 2003 TO: SEC RULES MEMBERS No. 46-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 33-03 COMPLIANCE ADVISORY COMMITTEE No. 28-03 INVESTMENT ADVISER MEMBERS No. 13-03 UNIT INVESTMENT TRUST MEMBERS No. 13-03 RE: INSTITUTE LETTER ON SEC PROPOSAL TO ADOPT MINIMUM STANDARDS...

[15897] April 11, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 29-03 RE: COMMITTEE MEETING DRAFT AGENDA As we previously informed you,1 the next meeting of the Compliance Advisory Committee is scheduled for Tuesday, May 13, 2003. The meeting will take place at the offices of the...

[15820] March 28, 2003 TO: SEC RULES COMMITTEE No. 29-03 COMPLIANCE ADVISORY COMMITTEE No. 26-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-03 UNIT INVESTMENT TRUST COMMITTEE No. 9-03 RE: DRAFT INSTITUTE LETTER ON SEC PROPOSAL TO IMPLEMENT STANDARDS OF PROFESSIONAL CONDUCT FOR...

[15821] March 28, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 21-03 COMPLIANCE ADVISORY COMMITTEE No. 27-03 SEC RULES COMMITTEE No. 30-03 RE: CFTC PROPOSES REVISED AMENDMENT TO RULE 4.5 AND AFFIRMS PREVIOUS NO-ACTION RELIEF As we previously informed you, in October 2002, the...

[15819] March 27, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 25-03 RE: NOTICE OF MEETING AND VIDEOCONFERENCE - MAY 13, 2003 A meeting of the Compliance Advisory Committee has been scheduled for Tuesday, May 13, 2003, at the offices of the Investment Company Institute, 1401 H Street, N...

[15814] March 26, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 14-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19-03 COMPLIANCE ADVISORY COMMITTEE No. 24-03 SEC RULES COMMITTEE No. 28-03 SMALL FUNDS COMMITTEE No. 11-03 RE: SEC PROPOSAL REGARDING CERTIFICATIONS UNDER SECTIONS 302 AND...