Compliance Advisory Content

[14181] November 26, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 22-01 COMPLIANCE ADVISORY COMMITTEE No. 60-01 SEC RULES COMMITTEE No. 95-01 TRANSFER AGENT ADVISORY COMMITTEE No. 95-01 UNIT INVESTMENT TRUST COMMITTEE No. 27-01 RE: SEC PROPOSES RULE AMENDMENTS RELATING TO...

[14172] November 21, 2001 TO: BOARD OF GOVERNORS No. 59-01 BROKER/DEALER ADVISORY COMMITTEE No. 28-01 COMPLIANCE ADVISORY COMMITTEE No. 59-01 INTERNAL AUDIT ADVISORY COMMITTEE No. 9-01 INTERNATIONAL MEMBERS No. 22-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 16-01 PRIMARY...

[14162] November 19, 2001 TO: PRIVACY ISSUES WORKING GROUP No. 5-01 COMPLIANCE ADVISORY COMMITTEE No. 58-01 RE: PRIVACY EXAMINATIONS BY THE SEC In a recent speech before broker-dealers, the Chief Counsel of the Office of Compliance Inspections and Examinations (OCIE) of the Securities...

[14161] November 19, 2001 TO: SEC RULES COMMITTEE No. 91-01 INVESTMENT ADVISERS COMMITTEE No. 26-01 COMPLIANCE ADVISORY COMMITTEE No. 57-01 EQUITY MARKETS ADVISORY COMMITTEE No. 46-01 RE: PROPOSED AIMR TRADE MANAGEMENT GUIDELINES The Association for Investment Management and Research...

[14153] November 16, 2001 TO: BROKER/DEALER ASSOCIATE MEMBERS No. 9-01 COMPLIANCE ADVISORY COMMITTEE No. 56-01 SEC RULES MEMBERS No. 77-01 RE: SEC ADOPTS REVISIONS TO BROKER-DEALER RECORDKEEPING REQUIREMENTS The Securities and Exchange Commission recently adopted revisions to Rules...

URGENT [14113] November 7, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 55-01 INTERNATIONAL COMMITTEE No. 59-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 15-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 82-01 TRANSFER AGENT ADVISORY COMMITTEE No. 90-01 RE: OFAC FREEZES ASSETS OF MORE...

[14106] November 2, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 30-01 COMPLIANCE ADVISORY COMMITTEE No. 53-01 INTERNAL AUDIT ADVISORY COMMITTEE No. 8-01 SEC RULES MEMBERS No. 72-01 RE: SEC REPORT OF INVESTIGATION AND STATEMENT ON THE RELATIONSHIP OF CORPORATE COOPERATION TO AGENCY...

[14107] November 2, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 32-01 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 20-01 BANK INVESTMENT MANAGEMENT MEMBERS No. 9-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 34-01 COMPLIANCE ADVISORY COMMITTEE No. 54-01 INVESTMENT ADVISER ASSOCIATE...

[14100] October 31, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 52-01 INTERNAL AUDIT ADVISORY COMMITTEE No. 7-01 INTERNATIONAL COMMITTEE No. 58-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 13-01 SEC RULES COMMITTEE No. 86-01 SMALL FUNDS COMMITTEE No. 17-01 TRANSFER AGENT ADVISORY...

[14085] October 26, 2001 TO: BOARD OF GOVERNORS No. 55-01 COMPLIANCE ADVISORY COMMITTEE No. 51-01 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-01 INTERNATIONAL MEMBERS No. 20-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 12-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 79-01 SEC RULES...