Compliance Advisory Content

[10293] September 17, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 39-98 BANK INVESTMENT MANAGEMENT MEMBERS No. 6-98 CLOSED-END INVESTMENT COMPANY MEMBERS No. 25-98 COMPLIANCE ADVISORY COMMITTEE No. 26-98 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 24-98 INVESTMENT ADVISER MEMBERS No. 25...

* In the Matter of Parnassus Investments, SEC Admin. Proc. File No. 3-9317, Initial Decision Rel. No. 131 (Sept. 3, 1998). A petition for review of the initial decision may be filed within 21 days of service of the decision. The SEC’s order initiating proceedings in this matter was...

[10251] September 3, 1998 TO: COMPLIANCE ADVISORY COMMITTEE No. 24-98 INTERNATIONAL COMMITTEE No. 25-98 RE: NOTICE OF MEETING -- OCTOBER 8TH IN SAN FRANCISCO ______________________________________________________________________________ A full-day meeting of the Compliance Advisory...

1 SEC v. Lyons, Lit. Rel. No. 15842A; S.D. Calif. No. 98 CV 1471J RBB (August 12, 1998) (the “Complaint”); and In Re Nicholas-Applegate Capital Management, Release No. IA-1741; File No. 3-9673; Admin. Proc. File No. 3-9673 (August 12, 1998) (the “Order”). [10221] August 21, 1998 TO...

1 See Memorandum to Accounting/Treasurers Committee No. 27-98, Compliance Advisory Committee No. 18-98, Independent Accountants Advisory Committee No. 7-98, Internal Audit Committee No. 6-98, Investment Advisers Committee No. 24-98, Operations Committee No. 26-98, SEC Rules Committee...

1 See Memorandum to Accounting/Treasurers Committee No. 27-98, Compliance Advisory Committee No. 18-98, Internal Audit Committee No. 6-98, Investment Advisers Committee No. 24-98, Operations Committee No. 26-98, SEC Rules Committee No. 68-98, and Transfer Agent Advisory Committee No...

[10136] July 17, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 30-98 COMPLIANCE ADVISORY COMMITTEE No. 20-98 INTERNAL AUDIT COMMITTEE No. 8-98 OPERATIONS COMMITTEE No. 28-98 SEC RULES MEMBERS No. 55-98 RE: NASD YEAR 2000 QUESTION AND ANSWER SESSIONS FOR FORM BD-Y2K ____________________...

1 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents, SEC Release No. 34-40163; File No. S7-8-98 (July 2, 1998); and Reports To Be Made by Certain Brokers and Dealers, SEC Release No. 34-40162; File No. S7-7-98 (July 2, 1998) (the “Releases”). 2 See Memorandum to...

1 Investment Adviser Year 2000 Reports, SEC Release No. IA-1728, IC-23293; File No. S7-20-98 (June 30, 1998) (the “Release”). The Release is a follow-up to two earlier companion releases in which the SEC proposed Year 2000 reporting requirements for certain transfer agents and broker...

[10093] July 2, 1998 TO: COMPLIANCE ADVISORY COMMITTEE No. 17-98 RE: DRAFT AGENDA FOR JULY 15TH MEETING ______________________________________________________________________________ Attached is a draft agenda for the next meeting of the Compliance Advisory Committee, scheduled for...