Compliance Advisory Content

[15630] February 7, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-03 COMPLIANCE ADVISORY COMMITTEE No. 13-03 MONEY LAUNDERING RULES WORKING GROUP No. 12-03 TRANSFER AGENT ADVISORY COMMITTEE No. 17-03 RE: FINCEN ANNOUNCES NEW 314(A) INFORMATION REQUEST PROCEDURES; WILL BEGIN MAKING...

URGENT/ACTION REQUESTED [15626] February 6, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 10-03 INTERNATIONAL COMMITTEE No. 15-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 8-03 MONEY LAUNDERING RULES WORKING GROUP No. 10-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 13-03 TRANSFER AGENT...

[15620] February 6, 2003 TO: SEC RULES MEMBERS No. 15-03 COMPLIANCE ADVISORY COMMITTEE No. 11-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 12-03 UNIT INVESTMENT TRUST MEMBERS No. 4-03 RE: SEC ADOPTS “UP THE LADDER” REPORTING REQUIREMENTS FOR ATTORNEYS AND RESOLICITS COMMENTS ON “NOISY...

[15629] February 6, 2003 TO: SEC RULES COMMITTEE No. 15-03 SMALL FUNDS COMMITTEE No. 6-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-03 COMPLIANCE ADVISORY COMMITTEE No. 12-03 UNIT INVESTMENT TRUST COMMITTEE No. 5-03 RE: SEC PROPOSALS RELATING TO INVESTMENT COMPANY AND INVESTMENT...

[15623] February 5, 2003 TO: BOARD OF GOVERNORS No. 5-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-03 COMPLIANCE ADVISORY COMMITTEE No. 9-03 SEC RULES COMMITTEE No. 12-03 SMALL FUNDS COMMITTEE No. 5-03 RE: SEC ADOPTS RULES RELATING TO PROXY VOTING BY INVESTMENT COMPANIES AND...

[15603] January 31, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 7-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 10-03 COMPLIANCE ADVISORY COMMITTEE No. 8-03 SEC RULES MEMBERS No. 13-03 SMALL FUNDS MEMBERS No. 5-03 RE: SEC ADOPTS AUDITOR INDEPENDENCE RULES As directed by Section 208(a)...

URGENT/ACTION REQUESTED [15594] January 30, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 6-03 INTERNATIONAL COMMITTEE No. 13-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 7-03 MONEY LAUNDERING RULES WORKING GROUP No. 9-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 8-03 TRANSFER AGENT...

[15596] January 30, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 6-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 9-03 COMPLIANCE ADVISORY COMMITTEE No. 7-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 9-03 SEC RULES MEMBERS No. 12-03 SMALL FUNDS MEMBERS No. 4-03 UNIT INVESTMENT TRUST MEMBERS...

URGENT/ACTION REQUESTED [15584] January 24, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 5-03 INTERNATIONAL COMMITTEE No. 9-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 6-03 MONEY LAUNDERING RULES WORKING GROUP No. 8-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 7-03 TRANSFER AGENT...

URGENT/ACTION REQUESTED [15581] January 24, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 4-03 INTERNATIONAL COMMITTEE No. 8-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 5-03 MONEY LAUNDERING RULES WORKING GROUP No. 7-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 6-03 TRANSFER AGENT...