Compliance Advisory Content

URGENT/ACTION REQUESTED [14778] May 31, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 15-02 COMPLIANCE ADVISORY COMMITTEE No. 43-02 INTERNATIONAL COMMITTEE No. 42-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 22-02 MONEY LAUNDERING RULES WORKING GROUP No. 29-02 PRIMARY CONTACTS -...

[14772] May 30, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 14-02 COMPLIANCE ADVISORY COMMITTEE No. 42-02 INTERNATIONAL COMMITTEE No. 40-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 21-02 MONEY LAUNDERING RULES WORKING GROUP No. 27-02 SEC RULES COMMITTEE No. 43-02 TRANSFER...

[14764] May 29, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 13-02 COMPLIANCE ADVISORY COMMITTEE No. 41-02 INTERNATIONAL MEMBERS No. 12-02 SEC RULES MEMBERS No. 41-02 SMALL FUNDS MEMBERS No. 16-02 TRANSFER AGENT ADVISORY COMMITTEE No. 42-02 RE: TREASURY PROPOSAL CONCERNING DUE...

[14720] May 13, 2002 TO: SEC RULES MEMBERS No. 35-02 COMPLIANCE ADVISORY COMMITTEE No. 40-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 20-02 INVESTMENT ADVISER MEMBERS No. 22-02 RE: SEC APPROVES NASDR AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST...

URGENT [14689] May 3, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 12-02 COMPLIANCE ADVISORY COMMITTEE No. 39-02 INTERNATIONAL COMMITTEE No. 34-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 18-02 MONEY LAUNDERING RULES WORKING GROUP No. 23-02 PRIMARY CONTACTS - MEMBER COMPLEX No...

[14666] April 25, 2002 TO: BROKER/DEALER ASSOCIATE MEMBERS No. 2-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 15-02 COMPLIANCE ADVISORY COMMITTEE No. 38-02 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-02 INTERNATIONAL COMMITTEE No. 32-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 17...

[14659] April 25 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 37-02 SMALL FUNDS COMMITTEE No. 5-02 RE: SEC SETTLES ADMINISTRATIVE PROCEEDINGS INSTITUTED AGAINST TWO ADVISERS AND THEIR OFFICERS FOR SECURITIES LAW VIOLATIONS The Securities and Exchange Commission has recently settled...

[14653] April 19, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 10-02 COMPLIANCE ADVISORY COMMITTEE No. 36-02 INTERNATIONAL COMMITTEE No. 31-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 16-02 MONEY LAUNDERING RULES WORKING GROUP No. 21-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 34...

[14650] April 18, 2002 TO: SEC RULES COMMITTEE No. 31-02 COMPLIANCE ADVISORY COMMITTEE No. 35-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 16-02 RE: INSTITUTE LETTER ON NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST The Institute has filed a...

[14635] April 12, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 9-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 14-02 COMPLIANCE ADVISORY COMMITTEE No. 33-02 MONEY LAUNDERING RULES WORKING GROUP No. 20-02 SEC RULES MEMBERS No. 25-02 SMALL FUNDS MEMBERS No. 10-02 TRANSFER AGENT ADVISORY...