Compliance Advisory Content

* In the Matter of Parnassus Investments, SEC Admin. Proc. File No. 3-9317 (May 28, 1997). June 3, 1997 TO: COMPLIANCE ADVISORY COMMITTEE No. 19-97 SEC RULES MEMBERS No. 42-97 RE: SEC INSTITUTES PROCEEDINGS AGAINST FUND ADVISER, PRESIDENT AND TRUSTEES FOR ALLEGED PRICING, SOFT DOLLAR...

* SEC Release No. 34-38480 (April 7, 1997). May 16, 1997 TO: COMPLIANCE ADVISORY COMMITTEE No. 18-97 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 16-97 INVESTMENT ADVISER MEMBERS No. 18-97 SEC RULES MEMBERS No. 38-97 UNIT INVESTMENT TRUST COMMITTEE No. 30-97 RE: SEC DETERMINES NO...

1 Release No. IA-1630; Administrative Proceeding File No. 3-9301 (April 28, 1997). 2 In an earlier related proceeding, the Commission found that the portfolio manager*s personal trading activities violated Section 17(j) of the Investment Company Act of 1940 and Rules 17j-1(a) and (c)...

April 30, 1997 TO: BROKER/DEALER ASSOCIATE MEMBERS No. 7-97 COMPLIANCE ADVISORY COMMITTEE No. 15-97 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 14-97 INVESTMENT ADVISER MEMBERS No. 16-97 PENSION MEMBERS No. 17-97 SEC RULES MEMBERS No. 32-97 RE: 1997 INVESTMENT ADVISERS CONFERENCE -- JUNE...

April 30, 1997 TO: BROKER/DEALER ADVISORY COMMITTEE No. 9-97 COMPLIANCE ADVISORY COMMITTEE No. 16-97 INVESTMENT ADVISERS COMMITTEE No. 15-97 SEC RULES COMMITTEE No. 47-97 STATE LIAISON COMMITTEE No. 9-97 RE: INSTITUTE COMMENTS ON NASAA PROPOSAL RELATING TO SUITABILITY ________________...

* See Memorandum to Compliance Advisory Committee No. 10-97, dated March 17, 1997; Memorandum to Compliance Advisory Committee No. 12-97, dated April 10, 1997. April 18, 1997 TO: COMPLIANCE ADVISORY COMMITTEE No. 14-97 RE: NOTICE OF MEETING ON MAY 30TH IN SAN FRANCISCO _______________...

* See Memorandum to Closed-End Investment Company Committee No. 4-97, Compliance Advisory Committee No. 6-97, SEC Rules Committee No. 22-97 and Unit Investment Trust Committee No. 12-97, dated February 25, 1997. April 15, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 16-97...

* See Memorandum to Accounting/Treasurers Members No. 12-97, Compliance Advisory Committee No. 10-97, Operations Members No. 8-97, Primary Contacts-Member Complex No. 20-97, SEC Rules Members No. 23-97 and Tax Members No. 11-97, dated March 17, 1997. April 10, 1997 TO: ACCOUNTING...

April 2, 1997 TO: COMPLIANCE ADVISORY COMMITTEE No. 11-97 RE: SEC INSPECTIONS; COMPLIANCE SYSTEMS AND PROCEDURES ______________________________________________________________________________ Attached for your information (and with the authors
permission) are two outlines prepared...

March 17, 1997 TO: INVESTMENT ADVISER MEMBERS No. 7-97 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 8-97 COMPLIANCE ADVISORY COMMITTEE No. 9-97 SEC RULES MEMBERS No. 22-97 PENSION MEMBERS No. 14-97 RE: INVESTMENT ADVISERS CONFERENCE SCHEDULED FOR JUNE 6 -- MARK YOUR CALENDAR _____________...