Compliance Advisory Content

URGENT/ACTION REQUESTED [15071] August 27, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 33-02 COMPLIANCE ADVISORY COMMITTEE No. 65-02 INTERNATIONAL COMMITTEE No. 61-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 35-02 MONEY LAUNDERING RULES WORKING GROUP No. 49-02 PRIMARY...

[15069] August 26, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 32-02 COMPLIANCE ADVISORY COMMITTEE No. 64-02 INTERNAL AUDIT ADVISORY COMMITTEE No. 8-02 INTERNATIONAL MEMBERS No. 24-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 34-02 MONEY LAUNDERING RULES WORKING GROUP No. 48...

[15061] August 22, 2002 TO: SEC RULES COMMITTEE No. 67-02 COMPLIANCE ADVISORY COMMITTEE No. 63-02 INVESTMENT ADVISERS COMMITTEE No. 16-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-02 RE: PROPOSED SEC REGULATION RELATING TO ANALYST CERTIFICATION The Securities and Exchange...

URGENT/ACTION REQUESTED [15036] August 13, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 30-02 COMPLIANCE ADVISORY COMMITTEE No. 62-02 INTERNATIONAL COMMITTEE No. 60-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 33-02 MONEY LAUNDERING RULES WORKING GROUP No. 45-02 PRIMARY...

[15035] August 13, 2002 TO: CALIFORNIA MEMBERS COMPLIANCE ADVISORY COMMITTEE No. 61-02 PRIVACY ISSUES WORKING GROUP No. 4-02 SEC RULES MEMBERS No. 63-02 SMALL FUNDS MEMBERS No. 29-02 RE: CALIFORNIA COUNTY PASSES PRIVACY ORDINANCE WITH OPT-IN REQUIREMENT On August 6, 2002, the County...

URGENT [15028] August 12, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 29-02 COMPLIANCE ADVISORY COMMITTEE No. 60-02 INTERNATIONAL COMMITTEE No. 58-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 32-02 MONEY LAUNDERING RULES WORKING GROUP No. 44-02 PRIMARY CONTACTS - MEMBER...

URGENT/ACTION REQUESTED [15023] August 12, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 40-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-02 COMPLIANCE ADVISORY COMMITTEE No. 59-02 SEC RULES COMMITTEE No. 64-02 UNIT INVESTMENT TRUST COMMITTEE No. 21-02 RE: ICI DRAFT COMMENT LETTER...

[15011] August 7, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 25-02 BANK INVESTMENT MANAGEMENT MEMBERS No. 2-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 32-02 COMPLIANCE ADVISORY COMMITTEE No. 58-02 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 19-02 INVESTMENT ADVISER MEMBERS No. 31-02...

[14992] August 2, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 24-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 31-02 COMPLIANCE ADVISORY COMMITTEE No. 57-02 SEC RULES MEMBERS No. 60-02 UNIT INVESTMENT TRUST MEMBERS No. 17-02 RE: SEC REQUEST FOR COMMENT ON APPLICATION OF CEO...

[14972] July 30, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 24-02 COMPLIANCE ADVISORY COMMITTEE No. 55-02 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-02 INTERNATIONAL MEMBERS No. 22-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 29-02 MONEY LAUNDERING RULES WORKING GROUP No. 41-02...