Compliance Advisory Content

1 See Memorandum to Compliance Advisory Committee No. 6-00, dated February 2, 2000. For information on registering for the workshop, please contact the ICI’s Conference Division at (202) 326-5968. [11632] February 11, 2000 TO: COMPLIANCE ADVISORY COMMITTEE No. 10-00 RE: NOTICE OF...

1 Securities Exchange Act Release No. 42360 (January 28, 2000). 2 The order states that six months is the maximum time period for phasing in decimal pricing and that after discussions with the industry, the SEC believes that six months provides adequate time for the exchanges and the...

[11622] February 9, 2000 TO: COMPLIANCE ADVISORY COMMITTEE No. 8-00 RE: SEC EXAMINATION OF IPO INVESTMENTS AND ALLOCATIONS ______________________________________________________________________________ Attached for your information is a copy of a document request form that a member...

1 Securities Exchange Act Release No. 42353 (January 20, 2000), 65 FR 4857 (February 1, 2000). 2 The ITS is a communication network designed to facilitate intermarket trading in exchange-listed securities by linking the NASD and the national securities exchanges. Under the current ITS...

[11573] February 2, 2000 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 TAX MEMBERS No. 4-00 RE: YEAR 2000 PORTFOLIO COMPLIANCE WORKSHOPS - MARK YOUR...

[11574] January 26, 2000 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 3-00 AUDIT COMMITTEE No. 3-00 COMPLIANCE ADVISORY COMMITTEE No. 5-00 CONTINUING EDUCATION/TRAINING MEMBERS No. 3-00 DIRECT MARKETING COMMITTEE No. 5-00 HUMAN RESOURCES MEMBERS No. 1-00 INTERNATIONAL COMMITTEE...

[11565] January 21, 2000 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 2-00 BROKER/DEALER ASSOCIATE MEMBERS No. 2-00 COMPLIANCE ADVISORY COMMITTEE No. 4-00 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 2-00 CONTINUING EDUCATION/TRAINING MEMBERS No. 2-00 DIRECT MARKETING...

[11559] January 20, 2000 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 1-00 BROKER/DEALER ASSOCIATE MEMBERS No. 1-00 COMPLIANCE ADVISORY COMMITTEE No. 3-00 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 1-00 CONTINUING EDUCATION/TRAINING MEMBERS No. 1-00 DIRECT MARKETING...

* In the Matter of Michael T. Sullivan, III, Admin. Proc. File No. 3-10122 (December 22, 1999); In the Matter of Scudder Kemper Investments, Inc. and Gary Paul Johnson, Admin. Proc. File No. 3-10121 (December 22, 1999). [11517] January 6, 2000 TO: COMPLIANCE ADVISORY COMMITTEE No. 2...

* See O'Malley et al. v. Boris, Del., No. 59 (December 8, 1999). [11523] January 5, 2000 TO: COMPLIANCE ADVISORY COMMITTEE No. 1-00 SEC RULES MEMBERS No. 2-00 RE: DELAWARE SUPREME COURT RESTORES BREACH OF FIDUCIARY CLAIM AGAINST A BROKER-DEALER ALLEGING INADEQUATE DISCLOSURE OF A...