Compliance Advisory Content

1 See Institute Memorandum to Closed-End Investment Company Members No. 3-98, SEC Rules Members No. 9-98 and Unit Investment Trust Members No. 4-98, dated February 5, 1998. [9719] February 27, 1998 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 11-98 CLOSED-END INVESTMENT COMPANY MEMBERS...

[9674] February 12, 1998 TO: ACCOUNTING/TREASURERS MEMBERS No. 2-98 COMPLIANCE ADVISORY COMMITTEE No. 5-98 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 2-98 PRIMARY CONTACTS - MONEY MARKET FUNDS No. 1-98 SEC RULES MEMBERS No. 12-98 SMALL FUNDS MEMBERS No. 2-98 RE: 1998 MONEY MARKET FUND...

[9669] February 11, 1998 TO: ADVERTISING SUBCOMMITTEE No. 6-98 BROKER/DEALER ASSOCIATE MEMBERS No. 3-98 COMPLIANCE ADVISORY COMMITTEE No. 4-98 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 2-98 CONTINUING EDUCATION/TRAINING MEMBERS No. 2-98 DIRECT MARKETING COMMITTEE No. 2...

[9628] January 30, 1998 TO: COMPLIANCE ADVISORY COMMITTEE No. 3-98 RE: DRAFT AGENDA FOR FEBRUARY 19TH MEETING ______________________________________________________________________________ As previously indicated, the next meeting of the Compliance Advisory Committee is scheduled for...

1 Release No. 34-39538 (January 12, 1998), 63 Fed. Reg. 2854 (January 16, 1998) (“Adopting Release”). Specifically, the Commission amended Regulation 13D-G and Schedules 13D and 13G of the Securities Exchange Act of 1934 (”Exchange Act”), and related Rules 13d-1, 13d-2, 13d-3, and 13d...

[9574] January 7, 1998 TO: COMPLIANCE ADVISORY COMMITTEE No. 1-98 RE: NOTICE OF MEETING ON FEBRUARY 19TH ______________________________________________________________________________ The next meeting of the Compliance Advisory Committee will be held on Thursday, February 19th at 10...

[9554] December 30, 1997 TO: BROKER/DEALER ADVISORY COMMITTEE No. 26-97 COMPLIANCE ADVISORY COMMITTEE No. 33-97 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 12-97 CONTINUING EDUCATION/TRAINING MEMBERS No. 5-97 DIRECT MARKETING COMMITTEE No. 29-97 HUMAN RESOURCES FORUM No...

[9553] December 30, 1997 TO: BROKER/DEALER ADVISORY COMMITTEE No. 25-97 COMPLIANCE ADVISORY COMMITTEE No. 32-97 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 11-97 CONTINUING EDUCATION/TRAINING MEMBERS No. 4-97 DIRECT MARKETING COMMITTEE No. 28-97 HUMAN RESOURCES FORUM No...

[9363] October 23, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 41-97 BANK INVESTMENT MANAGEMENT MEMBERS No. 21-97 CLOSED-END INVESTMENT COMPANY MEMBERS No. 32-97 COMPLIANCE ADVISORY COMMITTEE No. 31-97 CUSTODIAN ADVISORY COMMITTEE No. 3-97 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 40...

[9330] October 10, 1997 TO: COMPLIANCE ADVISORY COMMITTEE No. 30-97 RE: DRAFT AGENDA FOR OCTOBER 29TH MEETING ______________________________________________________________________________ Attached is a draft agenda for the next meeting of the Compliance Advisory Committee, scheduled...