Compliance Advisory Content

[11248] September 15, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 29-99 BROKER/DEALER ADVISORY COMMITTEE No. 25-99 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-99 COMPLIANCE ADVISORY COMMITTEE No. 35-99 EQUITY MARKETS ADVISORY COMMITTEE No. 29-99 FIXED-INCOME ADVISORY COMMITTEE No...

* In the Matter of Van Kampen Investment Advisory Corp. and Alan Sachtleben, Admin. Proc. File No. 310002 (September 8, 1999). 1 [11239] September 13, 1999 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 18-99 COMPLIANCE ADVISORY COMMITTEE No. 34-99 SEC RULES MEMBERS No. 54-99 RE...

1 Investment Company Act Release No. 23958 (August 20, 1999). 2 The amended rule clarifies that the board must approve the code of an investment adviser or principal underwriter only when the fund initially engages the investment adviser or principal underwriter and not upon each...

1 Securities and Exchange Commission Release No. I-A-1812 (August 4, 1999). [11166] August 6, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 32-99 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 15-99 INVESTMENT ADVISER MEMBERS No. 12-99 SEC RULES MEMBERS No. 48-99 RE: SEC PROPOSES "PAY TO PLAY"...

1[11147] July 30, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 24-99 BROKER/DEALER ADVISORY COMMITTEE No. 20-99 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-99 COMPLIANCE ADVISORY COMMITTEE No. 31-99 EQUITY MARKETS ADVISORY COMMITTEE No. 27-99 FIXED-INCOME ADVISORY COMMITTEE No. 4...

1[11134] July 23, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 30-99 RE: DRAFT INSTITUTE LETTER ON AGGREGATION FOR CONTROL PURPOSES UNDER THE CHANGE IN BANK CONTROL ACT AND THE BANK HOLDING COMPANY ACT ______________________________________________________________________________ At the...

[11129] July 20, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 29-99 RE: DRAFT AGENDA FOR JULY 29TH MEETING ______________________________________________________________________________ Attached is a draft agenda for the next meeting of the Compliance Advisory Committee. As previously...

* See Memorandum to Compliance Advisory Committee No. 25-99 and to SEC Rules Committee No. 48-99, dated June 24, 1999. [11127] July 19, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 28-99 SEC RULES COMMITTEE No. 55-99 RE: INSTITUTE COMMENT LETTER ON NASDR REQUEST FOR COMMENTS ON...

[11093] July 1, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 21-99 BROKER/DEALER ADVISORY COMMITTEE No. 17-99 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 22-99 COMPLIANCE ADVISORY COMMITTEE No. 27-99 EQUITY MARKETS ADVISORY COMMITTEE No. 25-99 FIXED-INCOME ADVISORY COMMITTEE No. 2-99...

[11088] June 29, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 26-99 RE: NOTICE OF MEETINGS - JULY 29-30 IN LOS ANGELES ______________________________________________________________________________ The next meeting of the Compliance Advisory Committee will be held on Thursday, July 29th...