Compliance Advisory Content

[12960] December 21, 2000 TO: COMPLIANCE ADVISORY COMMITTEE No. 42-00 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 39-00 INVESTMENT ADVISER MEMBERS No. 43-00 RE: RECENT LITIGATION UNDER SECTION 16 OF THE EXCHANGE ACT INVOLVING INVESTMENT ADVISERS AND THEIR CLIENTS Three recent cases...

[12935] December 15, 2000 TO: ACCOUNTING/TREASURERS COMMITTEE No. 45-00 COMPLIANCE ADVISORY COMMITTEE No. 41-00 INVESTMENT ADVISERS COMMITTEE No. 24-00 SEC RULES MEMBERS No. 81-00 RE: SEC ADMINISTRATIVE LAW JUDGE ISSUES DECISION FINDING VIOLATIONS OF SECURITIES LAWS BY INVESTMENT...

[12909] December 5, 2000 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 28-00 COMPLIANCE ADVISORY COMMITTEE No. 40-00 SEC RULES MEMBERS No. 78-00 RE: SEC’S DIVISION OF INVESTMENT MANAGEMENT ISSUES GUIDANCE ON RULE 17J-1 UNDER THE INVESTMENT COMPANY ACT The Securities and Exchange...

[12881] December 1, 2000 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-00 COMPLIANCE ADVISORY COMMITTEE No. 39-00 SEC RULES COMMITTEE No. 129-00 TRANSFER AGENT ADVISORY COMMITTEE No. 63-00 RE: DRAFT PRIVACY COMPLIANCE PAPER As you may know, the Institute has been working with outside...

[12826] November 2, 2000 TO: ACCOUNTING/TREASURERS COMMITTEE No. 40-00 BANK INVESTMENT MANAGEMENT MEMBERS No. 6-00 CLOSED-END INVESTMENT COMPANY MEMBERS No. 26-00 COMPLIANCE ADVISORY COMMITTEE No. 38-00 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 35-00 INVESTMENT ADVISER MEMBERS No. 38...

[12750] October 18, 2000 TO: ACCOUNTING/TREASURERS MEMBERS No. 28-00 BANK INVESTMENT MANAGEMENT MEMBERS No. 5-00 CLOSED-END INVESTMENT COMPANY MEMBERS No. 22-00 COMPLIANCE ADVISORY COMMITTEE No. 37-00 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 34-00 INVESTMENT ADVISER MEMBERS No. 37-00...

[12745] October 16, 2000 TO: ADVISORY GROUP ON BANKING ISSUES COMPLIANCE ADVISORY COMMITTEE No. 35-00 RE: FEDERAL RESERVE BOARD ISSUES GUIDANCE ON THE SCOPE OF ITS SUPERVISION OF FINANCIAL HOLDING COMPANIES AND THEIR SUBSIDIARIES On August 15, 2000, the Director of the Division of...

[12746] October 16, 2000 TO: ACCOUNTING/TREASURERS MEMBERS No. 27-00 CLOSED-END INVESTMENT COMPANY MEMBERS No. 21-00 COMPLIANCE ADVISORY COMMITTEE No. 36-00 EQUITY MARKETS ADVISORY COMMITTEE No. 55-00 INTERNATIONAL MEMBERS No. 16-00 INVESTMENT ADVISER MEMBERS No. 36-00 OPERATIONS...

[12666] September 25, 2000 TO: ACCOUNTING/TREASURERS MEMBERS No. 25-00 CLOSED-END INVESTMENT COMPANY MEMBERS No. 19-00 COMPLIANCE ADVISORY COMMITTEE No. 34-00 EQUITY MARKETS ADVISORY COMMITTEE No. 52-00 INTERNATIONAL MEMBERS No. 14-00 INVESTMENT ADVISER MEMBERS No. 34-00 OPERATIONS...

[12664] September 21, 2000 TO: ACCOUNTING/TREASURERS MEMBERS No. 24-00 BANK INVESTMENT MANAGEMENT MEMBERS No. 4-00 CLOSED-END INVESTMENT COMPANY MEMBERS No. 18-00 COMPLIANCE ADVISORY COMMITTEE No. 33-00 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 32-00 INVESTMENT ADVISER MEMBERS No. 33...