Compliance Advisory Content

[9317] October 8, 1997 TO: OPERATIONS MEMBERS No. 20-97 TRANSFER AGENT ADVISORY COMMITTEE No. 53-97 SEC RULES MEMBERS No. 76-97 INVESTMENT ADVISER MEMBERS No. 43-97 COMPLIANCE ADVISORY COMMITTEE No. 29-97 RE: SEC ADOPTS RULES REQUIRING TRANSFER AGENTS TO SEARCH FOR LOST SHAREHOLDERS _...

[9285] September 29, 1997 TO: COMPLIANCE ADVISORY COMMITTEE No. 28-97 RE: NOTICE OF MEETING ON OCTOBER 29TH ______________________________________________________________________________ The next meeting of the Compliance Advisory Committee will be held on Wednesday, October 29th at...

[9271] September 25, 1997 TO: BANK AND TRUST ADVISORY COMMITTEE No. 10-97 BROKER/DEALER ADVISORY COMMITTEE No. 13-97 COMPLIANCE ADVISORY COMMITTEE No. 27-97 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 9-97 CONTINUING EDUCATION/TRAINING MEMBERS No. 3-97 DIRECT MARKETING...

* In the Matter of Frank P. Meadows, III, and The Nottingham Company, Inc. d/b/a The Nottingham Management Company, Inc., d/b/a TNC, Inc., d/b/a F.P. Meadows & Company, and d/b/a The Nottingham Company, Release Nos. 34-39034, IC-22813, IA-1660, Admin. Proc. File No. 3-9395 (Sept. 9...

* In the Matter of Mitchell Hutchins Asset Management Inc., Admin. Proc. File No. 3-9383 (September 2, 1997). [9240] September 12, 1997 TO: SEC RULES MEMBERS No. 69-97 COMPLIANCE ADVISORY COMMITTEE No. 25-97 RE: SEC SANCTIONS FUND ADVISER IN CONNECTION WITH FUND INVESTMENTS IN CERTAIN...

1 The SEC has designated the Depository Trust Company ("DTC") as the appropriate QRSD for purposes of the Rule. 2 The Institute argued that, among other things: (1) since depositories typically play no role in the clearance and settlement process for mutual fund shares (which are not...

[9198] September 5, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 29-97 BANK INVESTMENT MANAGEMENT MEMBERS No. 18-97 CLOSED-END INVESTMENT COMPANY MEMBERS No. 24-97 COMPLIANCE ADVISORY COMMITTEE No. 23-97 CUSTODIAN ADVISORY COMMITTEE No. 2-97 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 35...

* Robert N. Shamansky v. Massachusetts Financial Services Co., et al., Case No. 96CVH12-9373. [9138] August 7, 1997 TO: COMPLIANCE ADVISORY COMMITTEE No. 22-97 SEC RULES MEMBERS No. 57-97 ABANDONED PROPERTY TASK FORCE RE: COURT DISMISSES CLAIM AGAINST FUND REGARDING A LOST DIVIDEND...

August 5, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 21-97 COMPLIANCE ADVISORY COMMITTEE No. 21-97 OPERATIONS COMMITTEE No. 27-97 PRIMARY CONTACTS - MEMBER COMPLEX No. 51-97 SEC RULES COMMITTEE No. 74-97 RE: POSSIBLE FORMATION OF AD HOC INTERNAL AUDIT COMMITTEE; MEETING SCHEDULED...

July 28, 1997 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 46-97 SEC RULES MEMBERS No. 53-97 BANK INVESTMENT MANAGEMENT MEMBERS No. 17-97 CLOSED-END INVESTMENT COMPANY MEMBERS No. 21-97 UNIT INVESTMENT TRUST MEMBERS No. 23-97 INVESTMENT ADVISER MEMBERS No. 31-97 INVESTMENT ADVISER...