Compliance Advisory Content

[15399] November 27, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 48-02 COMPLIANCE ADVISORY COMMITTEE No. 107-02 SEC RULES COMMITTEE No. 97-02 RE: INSTITUTE DRAFT LETTER ON AMENDMENTS PROPOSED BY CFTC TO RULE 4.5 TO FACILITATE TRADING OF STOCK FUTURES BY INVESTMENT COMPANIES...

[15397] November 27, 2002 TO: SEC RULES COMMITTEE No. 98-02 COMPLIANCE ADVISORY COMMITTEE No. 108-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 49-02 INVESTMENT ADVISERS COMMITTEE No. 29-02 UNIT INVESTMENT TRUST COMMITTEE No. 27-02 RE: SEC PROPOSAL TO IMPLEMENT STANDARDS OF...

[15373] November 22, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 106-02 EQUITY MARKETS ADVISORY COMMITTEE No. 29-02 INVESTMENT ADVISERS COMMITTEE No. 26-02 SEC RULES COMMITTEE No. 92-02 RE: AIMR ADOPTS TRADE MANAGEMENT GUIDELINES The Association for Investment Management and Research (...

[15377] November 22, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 48-02 COMPLIANCE ADVISORY COMMITTEE No. 105-02 MONEY LAUNDERING RULES WORKING GROUP No. 69-02 SEC RULES MEMBERS No. 103-02 SMALL FUNDS MEMBERS No. 51-02 TRANSFER AGENT ADVISORY COMMITTEE No. 104-02 RE: PROPOSED NASD...

URGENT/ACTION REQUESTED [15381] November 22, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 104-02 INTERNATIONAL COMMITTEE No. 81-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 54-02 MONEY LAUNDERING RULES WORKING GROUP No. 68-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 94-02 TRANSFER...

[15378] November 21, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 103-02 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 34-02 INVESTMENT ADVISER MEMBERS No. 51-02 RE: U.S. DISTRICT COURT AFFIRMS THAT RESCISSION AND RESTITUTION ARE THE ONLY PRIVATE REMEDIES AVAILABLE UNDER THE ADVISERS ACT The...

URGENT/ACTION REQUESTED [15364] November 19, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 101-02 INTERNATIONAL COMMITTEE No. 80-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 52-02 MONEY LAUNDERING RULES WORKING GROUP No. 66-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 92-02 TRANSFER...

[15365] November 19, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 46-02 BROKER/DEALER ASSOCIATE MEMBERS No. 13-02 COMPLIANCE ADVISORY COMMITTEE No. 102-02 CONTINUING EDUCATION AND TRAINING MEMBERS No. 13-02 HUMAN RESOURCES MEMBERS No. 12-02 INTERNAL AUDIT ADVISORY COMMITTEE No. 11-02...

[15363] November 18, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 100-02 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 31-02 INVESTMENT ADVISER MEMBERS No. 49-02 SEC RULES MEMBERS No. 101-02 RE: SEC SANCTIONS INVESTMENT ADVISER, BROKER-DEALER, CHIEF EXECUTIVE OFFICER AND PRESIDENT/COMPLIANCE...

[15325] November 14, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 99-02 DIRECTOR SERVICES COMMITTEE No. 8-02 INTERNATIONAL MEMBERS No. 28-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 51-02 OPERATIONS MEMBERS No. 31-02 SEC RULES MEMBERS No. 99-02 SMALL FUNDS MEMBERS No. 49-02...