Compliance Advisory Content

1 SEC Release Nos. 34-37018; IC-21852; Admin. Proc. File No. 3-8976 (March 25, 1996) and SEC Release Nos. 34-37019; IC-21853; Admin. Proc. File No. 3-8977 (March 25, 1996). March 27, 1996 TO: ACCOUNTING/TREASURERS MEMBERS No. 7-96 COMPLIANCE COMMITTEE No. 6-96 SEC RULES MEMBERS No. 16...

March 25, 1996 TO: ACCOUNTING/TREASURERS MEMBERS No. 6-96 COMPLIANCE COMMITTEE No. 5-96 MONEY MARKET FUNDS AD HOC COMMITTEE No. 5-96 MONEY MARKET MEMBERS - ONE PER COMPLEX No. 2-96 SEC RULES MEMBERS No. 15-96 SMALL FUNDS MEMBERS No. 3-96 RE: CONFERENCE ON MONEY MARKET FUND REGULATION...

March 19, 1996 TO: COMPLIANCE COMMITTEE No. 4-96 SEC RULES COMMITTEE No. 19-96 RULE 17g-1 TASK FORCE RE: INSTITUTE’S PROPOSAL TO AMEND RULE 17g-1 ______________________________________________________________________________ Attached is the Institute
s proposal to amend the fidelity...

March 5, 1996 TO: OPERATIONS COMMITTEE No. 4-96 MEMBERS INTERESTED IN CONTINUING EDUCATION/TRAINING No. 1-96 HUMAN RESOURCES FORUM No. 1-96 COMPLIANCE COMMITTEE No. 3-96 DIRECT MARKETING COMMITTEE No. 6-96 SALES FORCE MARKETING COMMITTEE No. 7-96 MEMBERS - ONE PER COMPLEX No. 18-96 RE...

1 Pretzel & Stouffer (pub. avail. December 1, 1995). 2 See Memorandum to SEC Rules Members No. 63-95, Investment Adviser Members No. 42-95 and Investment Adviser Associate Members No. 37-95, dated September 15, 1995. February 6, 1996 TO: COMPLIANCE COMMITTEE No. 2-96 INVESTMENT...

1 See Memorandum to Compliance Committee No. 20-95, Investment Adviser Members No. 22-95, SEC Rules Members No. 32-95 and Subcommittee on Advertising No. 6-95, dated May 4, 1995. 2 Release Nos. 33-7255, 34-36712, IC-21671, IA-1545; Administrative Proceeding File No. 3-8682, dated...

December 20, 1995 TO: COMPLIANCE COMMITTEE No. 46-95 INVESTMENT ADVISERS COMMITTEE No. 49-95 SEC RULES COMMITTEE No. 130-95 RE: ADDRESS OF THE SEC'S DIRECTOR OF THE OFFICE OF COMPLIANCE INSPECTIONS AND EXAMINATIONS ______________________________________________________________________...

1 Investment Company Act Release No. 21541 (November 27, 1995) (order); Litigation Release No. 14737 (November 28, 1995). November 30, 1995 TO: COMPLIANCE COMMITTEE No. 45-95 INVESTMENT ADVISER MEMBERS No. 55-95 UNIT INVESTMENT TRUST MEMBERS No. 63-95 RE: FORMER PORTFOLIO MANAGER...

November 28, 1995 TO: COMPLIANCE COMMITTEE No. 44-95 SEC RULES COMMITTEE No. 125-95 RE: PROPOSED COMPENDIUM OF NON-1940 ACT INVESTMENT RESTRICTIONS ______________________________________________________________________________ At the last meeting of the Compliance Committee, members...

November 16, 1995 TO: COMPLIANCE COMMITTEE No. 43-95 DIRECT MARKETING COMMITTEE No. 52-95 HUMAN RESOURCES FORUM No. 12-95 MEMBERS - ONE PER COMPLEX No. 101-95 MEMBERS INTERESTED IN CONTINUING EDUCATION/TRAINING No. 2-95 OPERATIONS MEMBERS No. 47-95 SALES FORCE MARKETING COMMITTEE No...