Compliance Advisory Content

* See Memorandum to Closed-End Investment Company Members No. 31-99, Compliance Advisory Committee No. 33-99, SEC Rules Members No. 51-99, and Unit Investment Trust Members No. 19-99, dated August 25, 1999. [11448] December 3, 1999 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 45-99...

[11395] November 8, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 43-99 BANK INVESTMENT MANAGEMENT MEMBERS No. 5-99 CLOSED-END INVESTMENT COMPANY MEMBERS No. 40-99 COMPLIANCE ADVISORY COMMITTEE No. 44-99 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 27-99 INVESTMENT ADVISER MEMBERS No. 24...

* In the Matter of Seaboard Investment Advisers, Inc. and Eugene W. Hansen, SEC Admin. Proc. File No. 3-9725 (September 21, 1999). [11360] November 1, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 43-99 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 26-99 INVESTMENT ADVISER MEMBERS No. 23-99...

[11346] October 27, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 42-99 RE: DRAFT AGENDA FOR NOVEMBER 4th MEETING ______________________________________________________________________________ Attached is a draft agenda for the next meeting of the Compliance Advisory Committee, scheduled...

[11318] October 19, 1999 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-99 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-99 COMPLIANCE ADVISORY COMMITTEE No. 41-99 EQUITY MARKETS ADVISORY COMMITTEE No. 32-99 FIXED-INCOME ADVISORY COMMITTEE No. 7-99 OPERATIONS COMMITTEE No. 38-99 PRIMARY...

1 In the matter of Fleet Investment Advisor Inc.(as successor to Shawmut Investment Advisers, Inc.) SEC Admin. Proc. File No. 3-10005 (September 9, 1999); In the matter of Karen Michalski and Christopher D. Sargent SEC Admin. Proc. File No. 3-10006 (September 9, 1999); and In the...

[11292] October 6, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 33-99 BANK INVESTMENT MANAGEMENT MEMBERS No. 3-99 CLOSED-END INVESTMENT COMPANY MEMBERS No. 36-99 COMPLIANCE ADVISORY COMMITTEE No. 39-99 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 21-99 INVESTMENT ADVISER MEMBERS No. 18-99...

* In the Matter of Ellen Griggs, Admin. Proc. File No. 3-9703 (September 27, 1999). The fund's investment adviser and its former portfolio manager were sanctioned in prior proceedings. See Memoranda to Compliance Advisory Committee No. 28- 98 and SEC Rules Members No. 73-98, dated...

[11269] September 24, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 37-99 RE: NOTICE OF MEETING - THURSDAY, NOVEMBER 4, 1999 ______________________________________________________________________________ The next meeting of the Compliance Advisory Committee has been scheduled for...

1 Review of the Commission’s Regulations Governing Attribution Ownership Rule, FCC 99-207 (MM Docket Nos. 94-150, 92-51, and 87- 154), 64 Fed. Reg. 50622 (Sept. 17, 1999) (summarizing the Commission’s Report and Order, FCC 99-207, Aug. 5, 1999) (the “Release”). 2 See Memorandum to...