Compliance Advisory Content

1 These include, for example, various regulations under the Bank Secrecy Act, such as rules adopted earlier this year governing certain wire and other funds transfers. 2 These regulations are designed to prohibit transactions by U.S. persons with certain foreign countries, persons and...

December 20, 1996 TO: BROKER/DEALER ASSOCIATE MEMBERS No. 26-96 COMPLIANCE ADVISORY COMMITTEE No. 35-96 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 9-96 CONTINUING EDUCATION/TRAINING MEMBERS No. 12-96 DIRECT MARKETING COMMITTEE No. 37-96 HUMAN RESOURCES FORUM No. 8-96...

December 9, 1996 TO: BROKER/DEALER ASSOCIATE MEMBERS No. 25-96 COMPLIANCE ADVISORY COMMITTEE No. 34-96 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 7-96 CONTINUING EDUCATION/TRAINING MEMBERS No. 10-96 DIRECT MARKETING COMMITTEE No. 36-96 HUMAN RESOURCES FORUM No. 7-96...

November 15, 1996 TO: COMPLIANCE ADVISORY COMMITTEE No. 33-96 SEC RULES COMMITTEE No. 121-96 RE: PROPOSED BROKER-DEALER BOOKS AND RECORDKEEPING REQUIREMENTS ______________________________________________________________________________ The Securities and Exchange Commission has...

November 14, 1996 TO: CHIEF COMPLEX CONTACTS (MEMBERS - ONE PER COMPLEX) No. 84-96 SEC RULES MEMBERS No. 71-96 BANK INVESTMENT MANAGEMENT MEMBERS No. 29-96 CLOSED-END INVESTMENT COMPANY MEMBERS No. 39-96 UNIT INVESTMENT TRUST MEMBERS No. 56-96 INVESTMENT ADVISER MEMBERS No. 47-96...

October 29, 1996 TO: BANK AND TRUST ADVISORY COMMITTEE No. 30-96 BROKER/DEALER ADVISORY COMMITTEE No. 18-96 COMPLIANCE COMMITTEE No. 31-96 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 5-96 DIRECT MARKETING COMMITTEE No. 32-96 HUMAN RESOURCES FORUM No. 6-96 HUMAN RESOURCES...

October 24, 1996 TO: MEMBERS - ONE PER COMPLEX No. 78-96 SEC RULES MEMBERS No. 66-96 BANK INVESTMENT MANAGEMENT MEMBERS No. 26-96 CLOSED-END FUND MEMBERS No. 33-96 UNIT INVESTMENT TRUST MEMBERS No. 52-96 INVESTMENT ADVISER MEMBERS No. 45-96 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 44...

October 15, 1996 TO: MEMBERS - ONE PER COMPLEX No. 75-96 SEC RULES MEMBERS No. 62-96 BANK INVESTMENT MANAGEMENT MEMBERS No. 25-96 CLOSED-END FUND MEMBERS No. 30-96 UNIT INVESTMENT TRUST MEMBERS No. 49-96 INVESTMENT ADVISER MEMBERS No. 43-96 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 41...

September 18, 1996 TO: COMPLIANCE COMMITTEE No. 28-96 RE: REVISED DRAFT SUMMARY OF NON-1940 ACT INVESTMENT RESTRICTIONS ______________________________________________________________________________ Attached for your review is a revised draft summary of various laws, other than...

September 5, 1996 TO: COMPLIANCE COMMITTEE No. 27-96 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 3-96 DIRECT MARKETING COMMITTEE No. 26-96 MARKETING POLICY COMMITTEE No. 30-96 MEMBERS INTERESTED IN CONTINUING EDUCATION/TRAINING No. 7-96 MEMBERS INTERESTED IN PUBLIC...