Compliance Advisory Content

[14622] April 10, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 9-02 COMPLIANCE ADVISORY COMMITTEE No. 31-02 INTERNAL AUDIT ADVISORY COMMITTEE No. 4-02 INTERNATIONAL COMMITTEE No. 28-02 OPERATIONS MEMBERS No. 9-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 29-02 SEC RULES MEMBERS No. 23-02...

[14625] April 10, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 32-02 RE: COMMITTEE MEETING- DRAFT AGENDA As we previously informed you,1 the next meeting of the Compliance Advisory Committee Meeting is scheduled for Tuesday, April 30, 2002. The meeting will take place at the offices of...

[14602] April 3, 2002 TO: SEC RULES COMMITTEE No. 26-02 COMPLIANCE ADVISORY COMMITTEE No. 29-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-02 RE: EXTENSION OF COMMENT PERIOD ON NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST As we previously...

[14601] April 3, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 8-02 COMPLIANCE ADVISORY COMMITTEE No. 30-02 INTERNATIONAL COMMITTEE No. 25-02 MONEY LAUNDERING RULES WORKING GROUP No. 18-02 SEC RULES COMMITTEE No. 27-02 TRANSFER AGENT ADVISORY COMMITTEE No. 28-02 RE: ICI COMMENT LETTER...

URGENT [14582] March 27, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 27-02 INTERNATIONAL COMMITTEE No. 22-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 11-02 MONEY LAUNDERING RULES WORKING GROUP No. 16-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 26-02 TRANSFER AGENT ADVISORY...

[14584] March 27, 2002 TO: SEC RULES COMMITTEE No. 25-02 COMPLIANCE ADVISORY COMMITTEE No. 28-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-02 RE: DRAFT INSTITUTE LETTER ON NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST As we previously...

[14557] March 19, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 5-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 11-02 COMPLIANCE ADVISORY COMMITTEE No. 24-02 SEC RULES MEMBERS No. 21-02 RE: SEC ANNOUNCES ACTIONS FOR ANDERSEN CLIENTS The SEC recently issued a series of orders and rules1...

[14558] March 19, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 25-02 RE: NOTICE OF MEETING - APRIL 30, 2002; NEW MEETING TIME AND TEST OF WEST COAST VIDEOCONFERENCING A meeting of the Compliance Advisory Committee has been scheduled for Tuesday, April 30th at the offices of the...

[14545] March 18, 2002 TO: SEC RULES COMMITTEE No. 21-02 COMPLIANCE ADVISORY COMMITTEE No. 22-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-02 RE: NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST The Securities and Exchange Commission has...