Compliance Advisory Content

[10084] July 1, 1998 TO: DIRECT MARKETING COMMITTEE No. 14-98 MARKETING POLICY COMMITTEE No. 20-98 PRIMARY CONTACTS - MEMBER COMPLEX No. 61-98 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 8-98 CONTINUING EDUCATION/TRAINING MEMBERS No. 8-98 PUBLIC INFORMATION COMMITTEE No...

[10011] June 12, 1998 TO: COMPLIANCE ADVISORY COMMITTEE No. 15-98 RE: NOTICE OF MEETING ON JULY 15TH ______________________________________________________________________________ The next meeting of the Compliance Advisory Committee will be held on Wednesday, July 15th at 10:00 a.m...

1 See In the Matter of NationsSecurities and NationsBank, N.A., Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b)(4) and 21C of the Securities Exchange Act of 1934 and Findings and Order of the Commission, Securities...

[9844] April 16, 1998 TO: ADVERTISING SUBCOMMITTEE No. 13-98 BROKER/DEALER ASSOCIATE MEMBERS No. 8-98 COMPLIANCE ADVISORY COMMITTEE No. 13-98 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 6-98 CONTINUING EDUCATION/TRAINING MEMBERS No. 5-98 DIRECT MARKETING COMMITTEE No. 8...

* See Memorandum to Accounting/Treasurers Committee No. 13-98, Compliance Advisory Committee No. 8-98, Independent Accountants Advisory Committee No. 3-98, Internal Audit Committee No. 2-98, Investment Advisers Committee No. 10-98, Operations Committee No. 13-98, SEC Rules Committee...

[9811] March 31, 1998 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 9-98 COMPLIANCE ADVISORY COMMITTEE No. 11-98 PRIMARY CONTACTS - MEMBER COMPLEX No. 21-98 SEC RULES MEMBERS No. 23-98 UNIT INVESTMENT TRUST MEMBERS No. 9-98 RE: REMINDER -- DISCLOSURE REFORM CONFERENCE ON APRIL 23 ____...

[9805] March 27, 1998 TO: COMPLIANCE ADVISORY COMMITTEE No. 10-98 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 5-98 CONTINUING EDUCATION/TRAINING MEMBERS No. 4-98 OPERATIONS COMMITTEE No. 20-98 RE: SEC ADOPTS REVISIONS TO THE SECURITIES INDUSTRY CONTINUING EDUCATION...

[9780] March 19, 1998 TO: ACCOUNTING/TREASURERS MEMBERS No. 6-98 COMPLIANCE ADVISORY COMMITTEE No. 9-98 PRIMARY CONTACTS - MONEY MARKET FUNDS No. 2-98 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 4-98 SEC RULES MEMBERS No. 20-98 SMALL FUNDS MEMBERS No. 5-98 RE: 1998 MONEY MARKET FUND...

1 Year 2000 Readiness Reports to Be Made by Transfer Agents, SEC Release No. 34-39726; File No. S7-8-98 (March 5, 1998); and Reports to Be Made by Certain Brokers and Dealers, SEC Release No. 34-39724, IC-23059, IA-1704; File No. S7-7-98 (March 5, 1998) (collectively, the “proposed...

[9724] March 3, 1998 TO: ADVERTISING SUBCOMMITTEE No. 9-98 BROKER/DEALER ASSOCIATE MEMBERS No. 4-98 COMPLIANCE ADVISORY COMMITTEE No. 7-98 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 3-98 CONTINUING EDUCATION/TRAINING MEMBERS No. 3-98 DIRECT MARKETING COMMITTEE No. 6-98...