Compliance Advisory Content

August 28, 1996 TO: BROKER/DEALER ASSOCIATE MEMBERS No. 16-96 COMPLIANCE COMMITTEE No. 26-96 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 28-96 INVESTMENT ADVISER MEMBERS No. 30-96 PENSION COMMITTEE No. 36-96 SEC RULES MEMBERS No. 46-96 RE: FINAL ANNOUNCEMENT: INVESTMENT ADVISERS...

1 See Memorandum to Compliance Committee No. 22-96, Direct Marketing Committee No. 22-96, Sales Force Marketing Committee No. 25-96, SEC Rules Committee No. 87-96 and Unit Investment Trust Committee No. 33-96, dated August 2, 1996. August 22, 1996 TO: COMPLIANCE COMMITTEE No. 25-96...

August 9, 1996 TO: COMPLIANCE COMMITTEE No. 24-96 RE: SEPTEMBER 26 MEETING IN CALIFORNIA ______________________________________________________________________________ A meeting of the Compliance Committee has been scheduled for Thursday, September 26th. Please note that the meeting...

August 7, 1996 TO: BROKER/DEALER ASSOCIATE MEMBERS No. 15-96 COMPLIANCE COMMITTEE No. 23-96 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 27-96 INVESTMENT ADVISER MEMBERS No. 29-96 PENSION MEMBERS No. 35-96 SEC RULES MEMBERS No. 42-96 RE: INVESTMENT ADVISERS CONFERENCE-SEPTEMBER 27, 1996 _...

1 NASD Notice to Members No. 44-96 (July 1996) and SEC Release No. 34-37475 (July 24, 1996). August 2, 1996 TO: COMPLIANCE COMMITTEE No. 22-96 DIRECT MARKETING COMMITTEE No. 22-96 SALES FORCE MARKETING COMMITTEE No. 25-96 SEC RULES COMMITTEE No. 87-96 UNIT INVESTMENT TRUST COMMITTEE...

1 NASD Conduct Rule 3070 (formerly, Article III, Section 50 of the NASD Rules of Fair Practice). July 24, 1996 TO: COMPLIANCE COMMITTEE No. 21-96 RE: NASD INTERPRETIVE GUIDANCE ON SCOPE OF CUSTOMER COMPLAINT RULE ________________________________________________________________________...

July 23, 1996 TO: CLOSED-END FUND MEMBERS No. 20-96 COMPLIANCE COMMITTEE No. 20-96 SEC RULES MEMBERS No. 37-96 TRANSFER AGENT ADVISORY COMMITTEE No. 42-96 RE: SEC STAFF PERMITS FUNDS TO INCLUDE RULE 19a-1 DISCLOSURE ON ACCOUNT STATEMENTS _______________________________________________...

July 22, 1996 TO: COMPLIANCE COMMITTEE No. 19-96 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 23-96 INVESTMENT ADVISER MEMBERS No. 25-96 RE: SEC OFFICIAL’S SPEECH REGARDING INVESTMENT ADVISER EXAMINATIONS ______________________________________________________________________________ Lori...

July 15, 1996 TO: INVESTMENT ADVISER MEMBERS No. 23-96 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 21-96 COMPLIANCE COMMITTEE No. 18-96 PENSION MEMBERS No. 29-96 SEC RULES MEMBERS No. 34-96 BROKER/DEALER ASSOCIATE MEMBERS No. 13-96 RE: MARK YOUR CALENDAR FOR THE 1996 INVESTMENT ADVISERS...

July 5, 1996 TO: CLOSED-END FUND MEMBERS No. 17-96 COMPLIANCE COMMITTEE No. 17-96 SEC RULES MEMBERS No. 32-96 UNIT INVESTMENT TRUST MEMBERS No. 28-96 RE: NO-ACTION LETTER EXPANDING THE TYPES OF SECURITIES PERMITTED TO BE PLACED IN SEGREGATED ACCOUNTS __________________________________...