Compliance Advisory Content

[14547] March 18, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-02 COMPLIANCE ADVISORY COMMITTEE No. 23-02 MONEY LAUNDERING RULES WORKING GROUP No. 14-02 SEC RULES COMMITTEE No. 22-02 SMALL FUNDS COMMITTEE No. 2-02 TRANSFER AGENT...

[14179] March 18, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 4-02 BOARD OF GOVERNORS No. 11-02 COMPLIANCE ADVISORY COMMITTEE No. 21-02 END OF DAY PRICING FORUM No. 2-02 INTERNATIONAL MEMBERS No. 3-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 24-02 SEC RULES MEMBERS No. 19-02 RE: INSTITUTE...

URGENT [14520] March 11, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 19-02 INTERNATIONAL COMMITTEE No. 18-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 10-02 MONEY LAUNDERING RULES WORKING GROUP No. 12-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 19-02 TRANSFER AGENT ADVISORY...

[14521] March 11, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 3-02 COMPLIANCE ADVISORY COMMITTEE No. 20-02 INTERNAL AUDIT ADVISORY COMMITTEE No. 1-02 INTERNATIONAL COMMITTEE No. 19-02 OPERATIONS MEMBERS No. 5-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 20-02 SEC RULES MEMBERS No. 16-02...

[14492] March 4, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 4-02 COMPLIANCE ADVISORY COMMITTEE No. 18-02 INTERNATIONAL COMMITTEE No. 16-02 MONEY LAUNDERING RULES WORKING GROUP No. 10-02 SEC RULES COMMITTEE No. 20-02 TRANSFER AGENT ADVISORY COMMITTEE No. 16-02 RE: ICI COMMENT LETTER...

[14487] February 28, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 7-02 COMPLIANCE ADVISORY COMMITTEE No. 17-02 SEC RULES MEMBERS No. 12-02 SMALL FUNDS MEMBERS No. 5-02 TRANSFER AGENT ADVISORY COMMITTEE No. 15-02 UNIT INVESTMENT TRUST...

URGENT [14482] February 26, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 16-02 INTERNATIONAL COMMITTEE No. 15-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 7-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 15-02 TRANSFER AGENT ADVISORY COMMITTEE No. 13-02 RE: OFAC FREEZES ASSETS OF MORE...

[14464] February 14, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 14-02 EQUITY MARKETS ADVISORY COMMITTEE No. 9-02 INVESTMENT ADVISERS COMMITTEE No. 3-02 SEC RULES COMMITTEE No. 18-02 RE: INSTITUTE COMMENT LETTER ON AIMR TRADE MANAGEMENT GUIDELINES As we previously informed you,1 in...

[14460] February 13, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 13-02 INTERNATIONAL COMMITTEE No. 14-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 5-02 MONEY LAUNDERING RULES WORKING GROUP No. 8-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 10-02 TRANSFER AGENT ADVISORY COMMITTEE No...

[14444] February 8, 2002 TO: MID-ATLANTIC MEMBERS RE: REGULATORS TO HOST MID-ATLANTIC SECURITIES FORUM ON MARCH 21ST The Securities and Exchange Commission, NASD Regulation, Inc., the Philadelphia Stock Exchange and various state securities agencies are sponsoring a Mid-Atlantic...