Compliance Advisory Content

URGENT/ACTION REQUESTED [15578] January 22, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 3-03 INTERNATIONAL COMMITTEE No. 6-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 4-03 MONEY LAUNDERING RULES WORKING GROUP No. 6-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 5-03 TRANSFER AGENT...

URGENT/ACTION REQUESTED [15533] January 10, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 2-03 INTERNATIONAL COMMITTEE No. 3-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 1-03 MONEY LAUNDERING RULES WORKING GROUP No. 2-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 2-03 TRANSFER AGENT...

[15527] January 9, 2003 TO: SEC RULES COMMITTEE No. 5-03 INVESTMENT ADVISERS COMMITTEE No. 2-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-03 COMPLIANCE ADVISORY COMMITTEE No. 1-03 RE: NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST The...

URGENT/ACTION REQUESTED [15495] December 27, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 116-02 INTERNATIONAL COMMITTEE No. 90-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 64-02 MONEY LAUNDERING RULES WORKING GROUP No. 75-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 99-02 TRANSFER...

[15492] December 24, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 51-02 COMPLIANCE ADVISORY COMMITTEE No. 115-02 SEC RULES MEMBERS No. 117-02 RE: NASD REQUIRES IMMEDIATE ACTION REGARDING COMPLIANCE WITH BREAKPOINT SCHEDULES; SEC LETTER STRESSES IMPORTANCE OF ISSUE The National...

URGENT [15469] December 19, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 50-02 BROKER/DEALER ASSOCIATE MEMBERS No. 15-02 COMPLIANCE ADVISORY COMMITTEE No. 114-02 INTERNATIONAL MEMBERS No. 32-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 61-02 MONEY LAUNDERING RULES WORKING GROUP...

[15468] December 18, 2002 TO: SEC RULES MEMBERS No. 114-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 69-02 COMPLIANCE ADVISORY COMMITTEE No. 113-02 INVESTMENT ADVISER MEMBERS No. 55-02 UNIT INVESTMENT TRUST MEMBERS No. 40-02 RE: INSTITUTE LETTER ON SEC PROPOSAL TO IMPLEMENT STANDARDS...

[15451] December 13, 2002 TO: SEC RULES COMMITTEE No. 104-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 53-02 COMPLIANCE ADVISORY COMMITTEE No. 112-02 INVESTMENT ADVISERS COMMITTEE No. 30-02 UNIT INVESTMENT TRUST COMMITTEE No. 31-02 RE: DRAFT INSTITUTE LETTER ON SEC PROPOSAL TO...

[15426] December 6, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 49-02 COMPLIANCE ADVISORY COMMITTEE No. 110-02 MONEY LAUNDERING RULES WORKING GROUP No. 72-02 SEC RULES MEMBERS No. 108-02 SMALL FUNDS MEMBERS No. 53-02 TRANSFER AGENT ADVISORY COMMITTEE No. 106-02 RE: DEVELOPMENTS...

URGENT/ACTION REQUESTED [15415] December 3, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 109-02 INTERNATIONAL COMMITTEE No. 84-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 59-02 MONEY LAUNDERING RULES WORKING GROUP No. 71-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 97-02 TRANSFER...