Compliance Advisory Content

[15174] September 13, 2002 TO: CALIFORNIA MEMBERS COMPLIANCE ADVISORY COMMITTEE No. 77-02 PRIVACY ISSUES WORKING GROUP No. 5-02 SEC RULES MEMBERS No. 77-02 SMALL FUNDS MEMBERS No. 36-02 RE: CALIFORNIA CITY PASSES PRIVACY ORDINANCE WITH OPT-IN REQUIREMENT; TWO NATIONAL BANKS FILE...

[15168] September 13, 2002 TO: SEC RULES COMMITTEE No. 76-02 COMPLIANCE ADVISORY COMMITTEE No. 76-02 INVESTMENT ADVISERS COMMITTEE No. 19-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-02 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED SEC REGULATION RELATING TO ANALYST...

[15166] September 12, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 75-02 SEC RULES MEMBERS No. 76-02 RE: SEC ADMINISTRATIVE PROCEEDING REGARDING DISCLOSURE OF FUND’S INVESTMENT STRATEGY AND PERFORMANCE The Securities and Exchange Commission recently accepted an offer of settlement and...

URGENT/ACTION REQUESTED [15112] September 6, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 37-02 COMPLIANCE ADVISORY COMMITTEE No. 73-02 INTERNATIONAL COMMITTEE No. 65-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 39-02 MONEY LAUNDERING RULES WORKING GROUP No. 52-02 PRIMARY...

[15134] September 6, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 38-02 COMPLIANCE ADVISORY COMMITTEE No. 74-02 INTERNATIONAL COMMITTEE No. 66-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 40-02 MONEY LAUNDERING RULES WORKING GROUP No. 53-02 OPERATIONS COMMITTEE No. 15-02 SEC...

[15097] September 4, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-02 COMPLIANCE ADVISORY COMMITTEE No. 72-02 SEC RULES COMMITTEE No. 69-02 RE: INSTITUTE FILES SUPPLEMENTAL COMMENT LETTER ON PROPOSED AMENDMENTS TO RULE 17f-4 As we previously informed you, the Securities and...

URGENT/ACTION REQUESTED [15091] September 3, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 35-02 COMPLIANCE ADVISORY COMMITTEE No. 69-02 INTERNATIONAL COMMITTEE No. 63-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 38-02 MONEY LAUNDERING RULES WORKING GROUP No. 51-02 PRIMARY...

[15094] September 3, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 34-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 42-02 COMPLIANCE ADVISORY COMMITTEE No. 71-02 EQUITY MARKETS ADVISORY COMMITTEE No. 20-02 INVESTMENT ADVISER MEMBERS No. 36-02 OPERATIONS MEMBERS No. 27-02 PRIMARY CONTACTS...

URGENT/ACTION REQUESTED [15082] August 29, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 34-02 COMPLIANCE ADVISORY COMMITTEE No. 67-02 INTERNATIONAL COMMITTEE No. 62-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 36-02 MONEY LAUNDERING RULES WORKING GROUP No. 50-02 PRIMARY...

[15078] August 27, 2002 TO: SEC RULES MEMBERS No. 70-02 COMPLIANCE ADVISORY COMMITTEE No. 66-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 38-02 INVESTMENT ADVISER MEMBERS No. 34-02 RE: NASD NOTICE TO MEMBERS RELATING TO THE REGULATION OF IPO ALLOCATIONS AND DISTRIBUTIONS The NASD has...