Compliance Advisory Content

[13972] September 25, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 25-01 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 18-01 COMPLIANCE ADVISORY COMMITTEE No. 40-01 SEC RULES MEMBERS No. 62-01 TAX MEMBERS No. 24-01 RE: SEC EXTENDS COMPLIANCE DATE OF AFTER-TAX RETURN DISCLOSURE RULES FOR...

[13923] September 25, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 39-01 RE: INFORMATION CONCERNING OCTOBER 4-5 MEETINGS IN SAN FRANCISCO; DRAFT MEETING AGENDA As previously indicated, the next meeting of the Compliance Advisory Committee will be held at 10:00 a.m. on Thursday, October...

[13975] September 25, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 26-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 29-01 COMPLIANCE ADVISORY COMMITTEE No. 41-01 EQUITY MARKETS ADVISORY COMMITTEE No. 32-01 INTERNATIONAL MEMBERS No. 16-01 INVESTMENT ADVISER MEMBERS No. 21-01 OPERATIONS...

URGENT [13967] September 24, 2001 TO: BANK AND TRUST ADVISORY COMMITTEE No. 17-01 BROKER/DEALER ASSOCIATE MEMBERS No. 6-01 COMPLIANCE ADVISORY COMMITTEE No. 38-01 INTERNATIONAL MEMBERS No. 14-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 68-01 SEC RULES MEMBERS No. 61-01 TRANSFER AGENT...

[13935] September 10, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-01 COMPLIANCE ADVISORY COMMITTEE No. 37-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 59-01 SEC RULES COMMITTEE No. 71-01 SMALL FUNDS COMMITTEE No. 11-01 RE: MODEL QUESTIONNAIRE FOR INVESTMENT COMPANY DIRECTORS...

[13902] August 30, 2001 TO: ACCOUNTING/TREASURERS COMMITTEE No. 25-01 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 15-01 BANK INVESTMENT MANAGEMENT MEMBERS No. 8-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 27-01 COMPLIANCE ADVISORY COMMITTEE No. 36-01 INVESTMENT ADVISER ASSOCIATE...

[13846] August 16, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 35-01 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 10-01 INVESTMENT ADVISER MEMBERS No. 17-01 SEC RULES MEMBERS No. 59-01 RE: SEC SANCTIONS INVESTMENT ADVISER, PORTFOLIO MANAGER AND OTHERS IN CONNECTION WITH ALLEGEDLY...

[13837] August 14, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 20-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 26-01 COMPLIANCE ADVISORY COMMITTEE No. 34-01 EQUITY MARKETS ADVISORY COMMITTEE No. 30-01 FIXED-INCOME ADVISORY COMMITTEE No. 12-01 INTERNATIONAL MEMBERS No. 13-01 INVESTMENT...

[13766] August 6, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 33-01 RE: NOTICE OF MEETING ON OCTOBER 4TH IN SAN FRANCISCO The next meeting of the Compliance Advisory Committee is scheduled for Thursday, October 4th in San Francisco. The meeting will be held at the offices of Capital...

[13750] July 20, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 18-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 25-01 COMPLIANCE ADVISORY COMMITTEE No. 32-01 EQUITY MARKETS ADVISORY COMMITTEE No. 25-01 INTERNATIONAL MEMBERS No. 12-01 INVESTMENT ADVISER MEMBERS No. 15-01 OPERATIONS MEMBERS...