Compliance Advisory Content

1 Year 2000 Readiness Reports To Be Made by Certain Non-Bank Transfer Agents, SEC Release No. 34-40587; FR-52; File No. S7-8-98 (October 22, 1998) (the “Release”). 2 See Reports to be Made by Certain Transfer Agents, SEC Release No. 34-40165; File No. S7-8-98 (July 2, 1998). In a...

[10423] October 27, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 47-98 COMPLIANCE ADVISORY COMMITTEE No. 35-98 SEC RULES COMMITTEE No. 107-98 RE: INSTITUTE MEMORANDUM ON "EMERGENCY" PRICING PROCEDURES ______________________________________________________________________________ The...

[10388] October 19, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 45-98 BANK INVESTMENT MANAGEMENT MEMBERS No. 8-98 CLOSED-END INVESTMENT COMPANY MEMBERS No. 35-98 COMPLIANCE ADVISORY COMMITTEE No. 34-98 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 30-98 INVESTMENT ADVISER MEMBERS No. 33...

* In the Matter of Concord Growth Corp., Admin. Proc. File No. 3-9732 (September 28, 1998); In the Matter of Reid Rutherford, Admin. Proc. File No. 3-9731 (September 28, 1998). The SEC has also instituted administrative proceedings against two other individuals, one of whom was an...

1 Investment Adviser Year 2000 Reports, SEC Release Nos. IA-1769 and IC-23476; File No. S7-20-98 (Oct. 1, 1998) (the “Release”). 2 See Investment Adviser Year 2000 Reports, SEC Release Nos. IA-1728 and IC-23293; File No. S7-20-98 (June 30, 1998). 3 The Release also notes that the...

[10337] September 29, 1998 TO: COMPLIANCE ADVISORY COMMITTEE No. 31-98 INTERNATIONAL COMMITTEE No. 32-98 RE: DRAFT AGENDA FOR OCTOBER 8TH MEETING ______________________________________________________________________________ Attached is a two-part draft agenda for the next meeting of...

[10320] September 24, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 42-98 BANK INVESTMENT MANAGEMENT MEMBERS No. 7-98 CLOSED-END INVESTMENT COMPANY MEMBERS No. 29-98 COMPLIANCE ADVISORY COMMITTEE No. 30-98 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 26-98 INVESTMENT ADVISER MEMBERS No. 27...

* The Report can be found on the SEC’s Web site at www.sec.gov/news/studies/softdolr.htm. [10317] September 23, 1998 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 28-98 COMPLIANCE ADVISORY COMMITTEE No. 29-98 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 25-98 INVESTMENT ADVISER MEMBERS No...

* In the Matter of Stephen H. Brown, Admin. Proc. File No. 3-9704 (September 14, 1998). The fund’s investment adviser was sanctioned in a prior proceeding. See Memorandum to SEC Rules Members No. 69-97 and Compliance Advisory Committee No. 25-97, dated September 12, 1997. The SEC has...

[10295] September 17, 1998 TO: COMPLIANCE ADVISORY COMMITTEE No. 27-98 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 13-98 CONTINUING EDUCATION/TRAINING MEMBERS No. 10-98 OPERATIONS COMMITTEE No. 37-98 RE: UPDATE ON THE SECURITIES INDUSTRY CONTINUING EDUCATION PROGRAM _____...