Compliance Advisory Content

June 28, 1996 TO: COMPLIANCE COMMITTEE No. 16-96 HUMAN RESOURCES FORUM No. 4-96 MEMBERS - ONE PER COMPLEX No. 55-96 MEMBERS INTERESTED IN CONTINUING EDUCATION/TRAINING No. 6-96 OPERATIONS MEMBERS No. 31-96 TRANSFER AGENT ADVISORY COMMITTEE No. 36-96 RE: TRANSFER AGENT: BASIC TRAINING...

June 11, 1996 TO: PENSION MEMBERS No. 23-96 INVESTMENT ADVISER MEMBERS No. 19-96 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 17-96 COMPLIANCE COMMITTEE No. 15-96 RE: INVESTMENT MANAGEMENT COMPANY SETTLES WITH DOL REGARDING CROSS TRADES ____________________________________________________...

1 See Memorandum to Compliance Committee No. 9-96, Operations Committee No. 7-96, SEC Rules Members No. 18-96 and Transfer Agent Advisory Committee No. 20-96, dated April 16, 1996. June 11, 1996 TO: COMPLIANCE COMMITTEE No. 14-96 OPERATIONS COMMITTEE No. 9-96 SEC RULES COMMITTEE No...

June 5, 1996 TO: COMPLIANCE COMMITTEE No. 13-96 DIRECT MARKETING COMMITTEE No. 17-96 HUMAN RESOURCES FORUM No. 3-96 MEMBERS - ONE PER COMPLEX No. 45-96 MEMBERS INTERESTED IN CONTINUING EDUCATION/TRAINING No. 4-96 OPERATIONS MEMBERS No. 24-96 SALES FORCE MARKETING COMMITTEE No. 19-96...

1 This memorandum was included in the materials for the 1990 ICI Securities Law Procedures Conference. May 15, 1996 TO: ACCOUNTING/TREASURERS COMMITTEE No. 19-96 COMPLIANCE COMMITTEE No. 12-96 MEMBERS - ONE PER COMPLEX No. 35-96 SEC RULES COMMITTEE No. 43-96 TRANSFER AGENT ADVISORY...

1 The announcement can be accessed through the SEC*s Internet home page address: http://www.sec.gov/. April 29, 1996 TO: CLOSED-END FUND MEMBERS No. 8-96 COMPLIANCE COMMITTEE No. 11-96 SEC RULES MEMBERS No. 21-96 SUBCOMMITTEE ON ADVERTISING No. 5-96 UNIT INVESTMENT TRUST COMMITTEE No...

April 25, 1996 TO: COMPLIANCE COMMITTEE No. 10-96 RE: DRAFT SUMMARY OF NON-1940 ACT INVESTMENT RESTRICTIONS ______________________________________________________________________________ At the last meeting of the Compliance Committee, the Committee discussed a member
s...

1 For example, where an “established customer” (as defined in the rules) of a non-bank financial institution originates a transmittal order, the institution must keep the following information: (1) the name and address of the transmittor; (2) the amount and execution date of the...

April 9, 1996 TO: COMPLIANCE COMMITTEE No. 8-96 MEMBERS - ONE PER COMPLEX No. 27-96 RE: STOLEN CHECKS USED FOR FUND INVESTMENT ______________________________________________________________________________ The Institute has been advised of potentially fraudulent activity involving the...

April 1, 1996 TO: COMPLIANCE COMMITTEE No. 7-96 RE: NOTICE OF MEETING ON TUESDAY, MAY 7 ______________________________________________________________________________ The next meeting of the Compliance Committee will be held on Tuesday, May 7th, at 10:00 am in the Institute
s David...