Compliance Advisory Content

March 17, 1997 TO: ACCOUNTING/TREASURERS MEMBERS No. 12-97 COMPLIANCE ADVISORY COMMITTEE No. 10-97 OPERATIONS MEMBERS No. 8-97 PRIMARY CONTACTS - MEMBER COMPLEX (MEMBERS - ONE PER COMPLEX) No. 20-97 SEC RULES MEMBERS No. 23-97 TAX MEMBERS No. 11-97 RE: 1997 PORTFOLIO COMPLIANCE...

March 4, 1997 TO: COMPLIANCE ADVISORY COMMITTEE No. 7-97 RE: SOFT DOLLAR ARRANGEMENTS ______________________________________________________________________________ At last week
s meeting of the Compliance Advisory Committee, the Committee discussed issues related to soft dollar...

February 25, 1997 TO: ADVERTISING SUBCOMMITTEE No. 10-97 BANK INVESTMENT MANAGEMENT MEMBERS No. 10-97 BROKER/DEALER ASSOCIATE MEMBERS No. 3-97 COMPLIANCE ADVISORY COMMITTEE No. 5-97 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 2-97 CONTINUING EDUCATION/TRAINING MEMBERS No...

February 25, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-97 COMPLIANCE ADVISORY COMMITTEE No. 6-97 SEC RULES COMMITTEE No. 22-97 UNIT INVESTMENT TRUST COMMITTEE No. 12-97 RE: SUMMARY OF NON-1940 ACT INVESTMENT RESTRICTIONS ___________________________________________________...

February 19, 1997 TO: COMPLIANCE ADVISORY COMMITTEE No. 4-97 SEC RULES COMMITTEE No. 19-97 RE: INSTITUTE PUBLISHES GUIDE TO FOREIGN MARKETING REGULATIONS ______________________________________________________________________________ The Institute frequently receives questions from...

1 Release No. IC-22460; Administrative Proceeding File No. 3-9218 (Jan. 13, 1997). February 3, 1997 TO: COMPLIANCE ADVISORY COMMITTEE No. 3-97 SEC RULES MEMBERS No. 11-97 RE: SEC INSTITUTES PROCEEDINGS AGAINST A FUND’S ADVISER AND ITS AFFILIATES FOR VIOLATIONS OF FEDERAL SECURITIES...

January 31, 1997 TO: COMPLIANCE ADVISORY COMMITTEE No. 2-97 RE: NOTICE OF MEETING ON FEBRUARY 26TH ______________________________________________________________________________ The next meeting of the Compliance Advisory Committee (also known as the Compliance Committee) will be held...

* Investment Company Act Release No. 22461 (Jan. 13, 1997). January 16, 1997 TO: COMPLIANCE ADVISORY COMMITTEE No. 1-97 SEC RULES MEMBERS No. 6-97 RE: SEC SANCTIONS PORTFOLIO MANAGER AND INVESTMENT ADVISER FOR PERSONAL SECURITIES TRADES ________________________________________________...

1 Release No. 34-38009 (Dec. 2, 1996); 61 Fed. Reg. 65625 (Dec. 13, 1996). December 23, 1996 TO: COMPLIANCE ADVISORY COMMITTEE No. 37-96 DIRECT MARKETING COMMITTEE No. 38-96 SALES FORCE MARKETING COMMITTEE No. 47-96 SEC RULES MEMBERS No. 85-96 UNIT INVESTMENT TRUST COMMITTEE No. 49-96...