Compliance Advisory Content

[14429] February 5, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-02 COMPLIANCE ADVISORY COMMITTEE No. 12-02 SEC RULES COMMITTEE No. 15-02 TRANSFER AGENT ADVISORY COMMITTEE No. 9-02 UNIT INVESTMENT TRUST COMMITTEE No. 6-02 RE: INSTITUTE COMMENT LETTER ON SEC RULE AMENDMENTS...

[14427] February 5, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-02 COMPLIANCE ADVISORY COMMITTEE No. 11-02 SEC RULES COMMITTEE No. 14-02 RE: NASDR STAFF PROVIDES VIEWS ON APPLICABILITY OF RULE 2210 TO STATISTICAL UPDATES TO MEMBER WEB SITES The staff of NASD Regulation...

[14425] February 4, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-02 COMPLIANCE ADVISORY COMMITTEE No. 10-02 SEC RULES COMMITTEE No. 13-02 SMALL FUNDS COMMITTEE No. 1-02 RE: NASDR SOLICITING INFORMATION TO PREPARE COST-BENEFIT ANALYSIS OF IMPACT OF MODERNIZING CERTAIN OF...

[14419] February 1, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 4-02 COMPLIANCE ADVISORY COMMITTEE No. 9-02 INVESTMENT ADVISERS COMMITTEE No. 2-02 SEC RULES COMMITTEE No. 11-02 RE: DC COURT HOLDS FEDERAL TRADE COMMISSION NOT BARRED FROM INVESTIGATING SEC REGISTRANT’S...

URGENT [14414] January 31, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 8-02 INTERNATIONAL COMMITTEE No. 10-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 4-02 MONEY LAUNDERING RULES WORKING GROUP No. 6-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 6-02 TRANSFER AGENT ADVISORY COMMITTEE...

[14410] January 30, 2002 TO: SEC RULES COMMITTEE No. 10-02 INVESTMENT ADVISERS COMMITTEE No. 1-02 COMPLIANCE ADVISORY COMMITTEE No. 7-02 EQUITY MARKETS ADVISORY COMMITTEE No. 5-02 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED AIMR TRADE MANAGEMENT GUIDELINES As we previously informed...

[14366] January 16, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-02 COMPLIANCE ADVISORY COMMITTEE No. 5-02 SEC RULES COMMITTEE No. 6-02 TRANSFER AGENT ADVISORY COMMITTEE No. 5-02 UNIT INVESTMENT TRUST COMMITTEE No. 3-02 RE: INSTITUTE DRAFT COMMENT LETTER ON PROPOSED...

[14349] January 14, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 4-02 EQUITY MARKETS ADVISORY COMMITTEE No. 4-02 SEC RULES COMMITTEE No. 3-02 RE: SPECIAL NASD NOTICE TO MEMBERS REGARDING COMPENSATION AND MIXED CAPACITY TRADING The Nasdaq Stock Market and NASD Regulation recently issued...

[14287] January 8, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 1-02 BROKER/DEALER ADVISORY COMMITTEE No. 1-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 3-02 COMPLIANCE ADVISORY COMMITTEE No. 2-02 INTERNATIONAL MEMBERS No. 2-02 SEC RULES MEMBERS No. 4-02 SMALL FUNDS MEMBERS No. 1-02...

[14291] January 4, 2002 TO: SEC RULES MEMBERS No. 1-02 COMPLIANCE ADVISORY COMMITTEE No. 1-02 EQUITY MARKETS ADVISORY COMMITTEE No. 1-02 INVESTMENT ADVISER MEMBERS No. 1-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 1-02 RE: SEC ISSUES INTERPRETATIVE GUIDANCE ON RISKLESS PRINCIPAL...