Briefs


	Nye Company


	Briefs


	Briefs are published whenever significant regulatory undertakings are announced or when pertinent speeches are made by SEC staff.


	Testimony Concerning--SEC's Mutual Fund Oversight By Lori A. Richards, Director, Office of Compliance Inspections and Examinations U.S. Securities & Exchange Commission Before the U.S. House Subcommittee on Commercial and Administrative Law June 7, 2005


	A Job Description For CCOs of Advisers to Private Investment Funds Gene Gohlke, Associate Director Office of Compliance Inspection and Examinations U.S. Securities and Exchange Commission


	Speech by SEC Staff: Opening Statements at December 22, 2004 Open Meeting by Paul F. Roye Proposed requirement for broker/dealers to register as RIAs.


	Speech by SEC Staff: Remarks before the 2004 Investment Company Institute Securities Law Developments Conference By Stephen M. Cutler Director, Division of Enforcement U.S. Securities and Exchange Commission Washington, D.C.; December 6, 2004 Minding Your Ps: Preventing Another Crisis in the Mutual Fund Industry


	August 5, 2004 SEC Releases Strategic Plan for 2004-2009 Washington, D.C., Aug. 5, 2004 -- The Securities and Exchange Commission today posted the 2004-2009 Strategic Plan on its Web site. The plan, approved by the Commission on July 9, 2004, identifies the vision, mission, values, and goals shaping the agency's activities during the next five years and details the initiatives being undertaken to achieve the SEC's goals.


	Date: July 2, 2004 Final Rule: Investment Adviser Codes of Ethics SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 270, 275 and 279 [Release Nos. IA-2256, IC-26492; File No. S7-04-04] RIN 3235-AJ08


	Date: June 28, 2004 The New Compliance Rule: An Opportunity for Change By Lori A. Richards Investment Company Institute/Independent Directors Council/Mutual Fund Compliance Programs Conference


	Speech by Lori A. Richards Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission The Need for More Proactive Risk Assessment Remarks at NRS Annual Spring Compliance Conference April 14, 2004

Speech by Stephen M. Cutler
Director, Division of Enforcement, Securities and Exchange Commission
Remarks Before the District of Columbia Bar Association

February 11, 2004


	Date: December 29, 2003 Interagency Proposal Regarding Alternative Forms of Privacy Notices under Gramm-Leach-Bliley Act


	Date: December 18, 2003 Final Rule: Compliance Programs Investment Advisers; Rel. Nos. IA-2204; IC-26299; File No. S7-03-03


	September 29, 2003 RE: New Custody Rules for Advisers


	Date: May 1, 2003 RE: FinCEN; Anti-Money Laundering Programs for Investment Advisers


	Date: May 1, 2003 RE: SEC & FinCEN Joint Rule on Anti-Money Laundering Programs for Broker-Dealers and Mutual Funds