Compliance Advisory Content

November 10, 1995 TO: ACCOUNTING/TREASURERS COMMITTEE No. 48-95 BANK INVESTMENT MANAGEMENT MEMBERS No. 21-95 CLOSED-END FUND MEMBERS No. 37-95 COMPLIANCE COMMITTEE No. 42-95 CUSTODIAN ADVISORY COMMITTEE No. 2-95 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 46-95 INVESTMENT ADVISER MEMBERS...

October 12, 1995 TO: COMPLIANCE COMMITTEE No. 41-95 RE: NOVEMBER 14 MEETING ______________________________________________________________________________ A meeting of the Compliance Committee has been scheduled for Tuesday, November 14. The meeting will be held at 2:00 p.m. in the...

October 10, 1995 TO: CLOSED-END FUND MEMBERS No. 33-95 COMPLIANCE COMMITTEE No. 40-95 INVESTMENT ADVISER MEMBERS No. 46-95 SEC RULES MEMBERS No. 72-95 RE: SEC TO ALLOW VOLUNTARY ELECTRONIC FILING OF SECTION 16 REPORTS AND RULE 144 NOTIFICATIONS ________________________________________...

1 See Memorandum to Accounting/Treasurers Members No. 14-95, Compliance Committee No. 15-95 and SEC Rules Members No. 17-95, dated March 9, 1995. 2 Investment Advisers Act Release No. 1525 (September 29, 1995); Administrative Proceeding File No. 3-8846. October 10, 1995 TO: ACCOUNTING...

October 6, 1995 TO: COMPLIANCE COMMITTEE No. 38-95 INVESTMENT ADVISER MEMBERS No. 45-95 SEC RULES MEMBERS No. 69-95 RE: SEC SANCTIONS PORTFOLIO MANAGER WITH RESPECT TO PERSONAL TRADING ACTIVITIES ______________________________________________________________________________ The...

October 4, 1995 TO: COMPLIANCE COMMITTEE No. 37-95 DIRECT MARKETING COMMITTEE No. 41-95 HUMAN RESOURCES FORUM No. 11-95 MEMBERS - ONE PER COMPLEX No. 85-95 MEMBERS INTERESTED IN CONTINUING EDUCATION/TRAINING No. 1-95 OPERATIONS COMMITTEE No. 27-95 SALES FORCE MARKETING COMMITTEE No...

October 2, 1995 TO: ACCOUNTING/TREASURERS COMMITTEE No. 39-95 BANK INVESTMENT MANAGEMENT MEMBERS No. 19-95 CLOSED-END FUND MEMBERS No. 31-95 COMPLIANCE COMMITTEE No. 36-95 CUSTODIAN ADVISORY COMMITTEE No. 1-95 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 39-95 INVESTMENT ADVISER MEMBERS...

September 15, 1995 TO: COMPLIANCE COMMITTEE No. 35-95 SEC RULES MEMBERS No. 64-95 SUBCOMMITTEE ON ADVERTISING No. 14-95 RE: SEC SUSTAINS NASD SANCTIONS WITH RESPECT TO MUTUAL FUND ADVERTISEMENTS ______________________________________________________________________________ The...

September 15, 1995 TO: COMPLIANCE COMMITTEE No. 34-95 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 37-95 INVESTMENT ADVISER MEMBERS No. 42-95 SEC RULES MEMBERS No. 63-95 RE: SEC STAFF LETTER PERMITTING ""BUNCHING"" OF CLIENT ORDERS _________________________________________________________...

September 13, 1995 TO: CLOSED-END FUND COMMITTEE No. 45-95 COMPLIANCE COMMITTEE No. 33-95 INVESTMENT ADVISERS COMMITTEE No. 37-95 SEC RULES COMMITTEE No. 101-95 UNIT INVESTMENT TRUST COMMITTEE No. 70-95 RE: SEC PROPOSES AMENDMENTS TO RULE 17j-1 UNDER THE INVESTMENT COMPANY ACT AND...