Compliance Advisory Content

1 Securities Exchange Act Release No. 34-42892 (June 2, 2000), 65 Fed. Reg. 36602 (June 9, 2000) (the "Release"). 2 Registered transfer agents are required by Rule 17Ac2-1(c) to amend Form TA-1 or the SEC Supplements to Form TA-1 within 60 calendar days following the date on which...

1 In the Matter of The Dreyfus Corp. and Michael L. Schonberg, Admin. Proc. File No. 3-10201 (May 10, 2000). 2 In the Matter of The Dreyfus Corp., Dreyfus Service Corp. and Michael L. Schonberg (Stipulation, dated April 18, 2000). 1 [11885] May 15, 2000 TO: ADVERTISING COMPLIANCE...

[11866] May 9, 2000 TO: COMPLIANCE ADVISORY COMMITTEE No. 18-00 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 13-00 INVESTMENT ADVISER MEMBERS No. 14-00 RE: SEC LETTER SUMMARIZING TYPES OF VIOLATIONS FOUND DURING INSPECTIONS OF INVESTMENT ADVISERS __________________________________________...

[11816] April 14, 2000 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 13-00 AUDIT COMMITTEE No. 5-00 BROKER/DEALER ASSOCIATE MEMBERS No. 5-00 COMPLIANCE ADVISORY COMMITTEE No. 17-00 CONTINUING EDUCATION/TRAINING MEMBERS No. 5-00 DIRECT MARKETING COMMITTEE No. 7-00 HUMAN RESOURCES...

1 In the Matter of Monetta Financial Services, Inc., SEC Admin. Proc. File No. 3-9546, Initial Decision Rel. No. 162 (March 27, 2000). A petition for review of the initial decision may be filed within 21 days of service of the decision. 1 [11780] April 4, 2000 TO: COMPLIANCE ADVISORY...

[11728] March 14, 2000 TO: COMPLIANCE ADVISORY COMMITTEE No. 15-00 RE: DRAFT AGENDA FOR APRIL 6TH MEETING ______________________________________________________________________________ Attached is a draft agenda for the next meeting of the Compliance Advisory Committee. As previously...

1 See Memorandum to Accounting/Treasurers Members No. 4-00, Compliance Advisory Committee No. 6-00, Operations Members No. 4-00, Primary Contacts – Member Complex No. 10-00, SEC Rules Members No. 9-00, and Tax Members No. 4-00, dated February 2, 2000. 2 We have been informed that the...

[11676] February 28, 2000 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 8-00 BROKER/DEALER ASSOCIATE MEMBERS No. 3-00 COMPLIANCE ADVISORY COMMITTEE No. 13-00 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 4-00 CONTINUING EDUCATION/TRAINING MEMBERS No. 4-00 DIRECT...

1 Securities Exchange Act Release No. 42450 (February 23, 2000) (“Release”). 1 [11674] February 25, 2000 TO: COMPLIANCE ADVISORY COMMITTEE No. 12-00 EQUITY MARKETS ADVISORY COMMITTEE No. 9-00 SEC RULES COMMITTEE No. 26-00 RE: SEC ISSUES NYSE PROPOSED RULE CHANGE TO RESCIND RULE 390...

* Remarks of Chairman Arthur Levitt, Securities and Exchange Commission, before the Mutual Fund Directors Education Council Conference, Washington, D.C., February 17, 2000. Attached to the speech is a "fact sheet" on the Commission's special review of fund advertising. 1 [11667]...