Compliance Advisory Content

URGENT [14284] December 31, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 70-01 INTERNATIONAL COMMITTEE No. 71-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 24-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 98-01 TRANSFER AGENT ADVISORY COMMITTEE No. 108-01 RE: OFAC FREEZES ASSETS OF SIX...

[14262] December 20, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 68-01 SEC RULES MEMBERS No. 83-01 SMALL FUNDS MEMBERS No. 37-01 RE: SEC SPEECHES AT 2001 SECURITIES LAW DEVELOPMENTS CONFERENCE Paul F. Roye, Director of the SEC’s Division of Investment Management, delivered the keynote...

URGENT [14267] December 20, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 69-01 INTERNATIONAL COMMITTEE No. 70-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 23-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 95-01 TRANSFER AGENT ADVISORY COMMITTEE No. 107-01 RE: OFAC FREEZES ASSETS OF MORE...

URGENT [14250] December 17, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 67-01 INTERNATIONAL COMMITTEE No. 66-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 21-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 94-01 TRANSFER AGENT ADVISORY COMMITTEE No. 105-01 RE: OFAC FREEZES ASSETS OF...

URGENT [14241] December 14, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 66-01 INTERNATIONAL COMMITTEE No. 65-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 20-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 93-01 TRANSFER AGENT ADVISORY COMMITTEE No. 104-01 RE: OFAC FREEZES ASSETS OF...

[14232] December 14, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 65-01 SEC RULES COMMITTEE No. 97-01 INVESTMENT IN BANK SECURITIES WORKING GROUP RE: FEDERAL RESERVE BOARD LETTER REGARDING FUNDS’ INVESTMENTS IN BANKING ORGANIZATIONS As we previously informed you,1 the Institute and...

[14219] December 13, 2001 TO: BOARD OF GOVERNORS No. 62-01 BROKER/DEALER ADVISORY COMMITTEE No. 31-01 BROKER/DEALER ASSOCIATE MEMBERS No. 10-01 COMPLIANCE ADVISORY COMMITTEE No. 64-01 INTERNAL AUDIT ADVISORY COMMITTEE No. 10-01 INTERNATIONAL MEMBERS No. 23-01 INTERNATIONAL OPERATIONS...

URGENT [14203] December 4, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 62-01 INTERNATIONAL COMMITTEE No. 63-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 17-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 91-01 TRANSFER AGENT ADVISORY COMMITTEE No. 100-01 RE: OFAC FREEZES ASSETS OF THREE...

[14204] December 4, 2001 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 37-01 COMPLIANCE ADVISORY COMMITTEE No. 63-01 SEC RULES MEMBERS No. 80-01 UNIT INVESTMENT TRUST MEMBERS No. 40-01 RE: SEC STAFF ISSUES GUIDANCE ON FUND NAME RULE The SEC’s Division of Investment Management today...

[14186] November 29, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 61-01 EQUITY MARKETS ADVISORY COMMITTEE No. 50-01 INVESTMENT ADVISERS COMMITTEE No. 27-01 SEC RULES COMMITTEE No. 96-01 RE: CONFERENCE CALL REGARDING PROPOSED AIMR TRADE MANAGEMENT GUIDELINES SCHEDULED FOR DECEMBER 17 As...