Compliance Advisory Content

[15797] March 24, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-03 COMPLIANCE ADVISORY COMMITTEE No. 23-03 INVESTMENT ADVISERS COMMITTEE No. 6-03 SEC RULES COMMITTEE No. 27-03 SMALL FUNDS COMMITTEE No. 10-03 UNIT INVESTMENT TRUST COMMITTEE No. 8-03 RE: DRAFT ICI COMMENT...

URGENT/ACTION REQUESTED [15788] March 21, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 22-03 INTERNATIONAL COMMITTEE No. 23-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 15-03 MONEY LAUNDERING RULES WORKING GROUP No. 22-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 26-03 TRANSFER AGENT...

[15751] March 13, 2003 TO: BOARD OF GOVERNORS No. 12-03 BROKER/DEALER ADVISORY COMMITTEE No. 11-03 COMPLIANCE ADVISORY COMMITTEE No. 21-03 SEC RULES MEMBERS No. 31-03 TRANSFER AGENT ADVISORY COMMITTEE No. 29-03 RE: JOINT SEC, NASD AND NYSE REPORT ON EXAMINATIONS OF BROKER-DEALERS...

URGENT/ACTION REQUESTED [15738] March 10, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 20-03 INTERNATIONAL COMMITTEE No. 22-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 13-03 MONEY LAUNDERING RULES WORKING GROUP No. 19-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 23-03 TRANSFER AGENT...

URGENT/ACTION REQUESTED [15732] March 7, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 18-03 INTERNATIONAL COMMITTEE No. 21-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 12-03 MONEY LAUNDERING RULES WORKING GROUP No. 18-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 22-03 TRANSFER AGENT...

[15734] March 7, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 19-03 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 5-03 INVESTMENT ADVISER MEMBERS No. 10-03 SEC RULES MEMBERS No. 27-03 RE: SEC SANCTIONS INDIRECT SHAREHOLDER AND PRESIDENT OF INVESTMENT ADVISER FOR SALE AND REDEMPTION OF FUND...

URGENT/ACTION REQUESTED [15703] February 28, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 17-03 INTERNATIONAL COMMITTEE No. 20-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 11-03 MONEY LAUNDERING RULES WORKING GROUP No. 15-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 20-03 TRANSFER...

[15692] February 25, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 11-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 20-03 COMPLIANCE ADVISORY COMMITTEE No. 16-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 18-03 SEC RULES MEMBERS No. 24-03 SMALL FUNDS MEMBERS No. 11-03 RE: INSTITUTE GUIDANCE ON...

URGENT/ACTION REQUESTED [15668] February 20, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 15-03 INTERNATIONAL COMMITTEE No. 18-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 10-03 MONEY LAUNDERING RULES WORKING GROUP No. 14-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 16-03 TRANSFER...

URGENT/ACTION REQUESTED [15665] February 19, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 14-03 INTERNATIONAL COMMITTEE No. 17-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 9-03 MONEY LAUNDERING RULES WORKING GROUP No. 13-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 14-03 TRANSFER...