Compliance Advisory Content

[14962] July 26, 2002 TO: SEC RULES COMMITTEE No. 62-02 INVESTMENT ADVISERS COMMITTEE No. 14-02 COMPLIANCE ADVISORY COMMITTEE No. 53-02 RE: PROPOSED AIMR RESEARCH OBJECTIVITY STANDARDS The Association for Investment Management and Research (“AIMR”) has published for comment proposed...

[14964] July 26, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 20-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 28-02 COMPLIANCE ADVISORY COMMITTEE No. 54-02 EQUITY MARKETS ADVISORY COMMITTEE No. 17-02 INVESTMENT ADVISER MEMBERS No. 30-02 OPERATIONS MEMBERS No. 20-02 PRIMARY CONTACTS -...

[14948] July 23, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 22-02 COMPLIANCE ADVISORY COMMITTEE No. 52-02 SEC RULES MEMBERS No. 53-02 SMALL FUNDS MEMBERS No. 22-02 RE: TREASURY AND SEC PROPOSE CUSTOMER IDENTIFICATION PROGRAM RULE The Department of the Treasury’s Financial Crimes...

[14942] July 22, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 21-02 COMPLIANCE ADVISORY COMMITTEE No. 51-02 INTERNATIONAL MEMBERS No. 20-02 MONEY LAUNDERING RULES WORKING GROUP No. 40-02 SEC RULES MEMBERS No. 52-02 SMALL FUNDS MEMBERS No. 21-02 TRANSFER AGENT ADVISORY COMMITTEE No...

URGENT/ACTION REQUESTED [14927] July 17, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 19-02 COMPLIANCE ADVISORY COMMITTEE No. 50-02 INTERNATIONAL COMMITTEE No. 54-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 28-02 MONEY LAUNDERING RULES WORKING GROUP No. 37-02 PRIMARY CONTACTS...

[14908] July 11, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 17-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 24-02 COMPLIANCE ADVISORY COMMITTEE No. 49-02 EQUITY MARKETS ADVISORY COMMITTEE No. 15-02 INTERNATIONAL MEMBERS No. 18-02 INVESTMENT ADVISER MEMBERS No. 27-02 OPERATIONS MEMBERS...

URGENT/ACTION REQUESTED [14879] July 8, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 17-02 COMPLIANCE ADVISORY COMMITTEE No. 48-02 INTERNATIONAL COMMITTEE No. 51-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 27-02 MONEY LAUNDERING RULES WORKING GROUP No. 35-02 PRIMARY CONTACTS -...

[14870] July 3, 2002 TO: SEC RULES MEMBERS No. 47-02 COMPLIANCE ADVISORY COMMITTEE No. 47-02 INVESTMENT ADVISER MEMBERS No. 26-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 23-02 RE: NASD AND NYSE INTERPRETIVE GUIDANCE ON ANALYST CONFLICT OF INTEREST RULES As we previously informed you...

[14853] July 2, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 16-02 BROKER/DEALER ASSOCIATE MEMBERS No. 7-02 COMPLIANCE ADVISORY COMMITTEE No. 46-02 INTERNATIONAL MEMBERS No. 16-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 26-02 MONEY LAUNDERING RULES WORKING GROUP No. 33-02 SEC...

URGENT [14838] June 27, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 45-02 INTERNATIONAL COMMITTEE No. 49-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 25-02 MONEY LAUNDERING RULES WORKING GROUP No. 32-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 48-02 TRANSFER AGENT ADVISORY COMMITTEE...