Compliance Advisory Content

1 See Memorandum to Compliance Committee No. 26-95, Direct Marketing Committee No. 27-95, Sales Force Marketing Committee No. 30-95, SEC Rules Members No. 42-95 and Unit Investment Trust Members No. 33-95, dated June 23, 1995. July 21, 1995 TO: COMPLIANCE COMMITTEE No. 32-95 DIRECT...

July 6, 1995 TO: COMPLIANCE COMMITTEE No. 31-95 DIRECT MARKETING COMMITTEE No. 28-95 MARKETING POLICY COMMITTEE No. 32-95 MEMBERS INTERESTED IN PUBLIC INFORMATION No. 4-95 PUBLIC INFORMATION COMMITTEE No. 23-95 SALES FORCE MARKETING COMMITTEE No. 31-95 SHAREHOLDER COMMUNICATIONS...

1 See Memorandum to Compliance Committee No. 21-94, Investment Advisers Committee No. 56-94 and SEC Rules Committee No. 121-94, dated November 17, 1994. 2 See Memorandum to Compliance Committee No. 8-95, Investment Advisers Committee No. 10-95, SEC Rules Committee No. 18-95 and Unit...

June 30, 1995 TO: CLOSED-END FUND COMMITTEE No. 32-95 COMPLIANCE COMMITTEE No. 29-95 SEC RULES COMMITTEE No. 79-95 CREDITOR'S RIGHTS ADVISORY COMMITTEE RE: INSTITUTE MEMORANDUM ON POLICIES CONCERNING TRADING IN TROUBLED DEBT SECURITIES _________________________________________________...

1 See Memorandum to SEC Rules Members No. 18-95, Compliance Committee No. 16-95 and Closed-End Fund Members No. 8-95, dated March 13, 1994. 2 The InstituteGs previous memorandum incorrectly stated that none of the equity kickers had been allocated to any of the investment companies...

June 23, 1995 TO: ACCOUNTING/TREASURERS MEMBERS No. 32-95 COMPLIANCE COMMITTEE No. 27-95 MEMBERS - ONE PER COMPLEX No. 60-95 OPERATIONS MEMBERS No. 31-95 SEC RULES MEMBERS No. 43-95 TAX MEMBERS No. 32-95 RE: ADDITIONAL PORTFOLIO COMPLIANCE WORKSHOP IN N.Y. -- JULY 27TH _______________...

1 See Memorandum to Compliance Committee No. 21-92, Direct Marketing Committee No. 42-92, Sales Force Marketing Committee No. 43-92, SEC Rules Members No. 54-92 and Unit Investment Trust Members No. 54-92, dated October 28, 1992. 2 See Memorandum to Compliance Committee No. 16-94...

June 21, 1995 TO: COMPLIANCE COMMITTEE No. 25-95 RE: MEMBERS' CODES OF ETHICS ______________________________________________________________________________ At the last meeting of the Compliance Committee, several members suggested that the Institute might gather membersG Rule 17j-1...

1 See Memorandum to Compliance Committee No. 17-95 and SEC Rules Committee No. 49-95, dated March 30, 1995. May 30, 1995 TO: COMPLIANCE COMMITTEE No. 24-95 SEC RULES COMMITTEE No. 69-95 RE: INSTITUTE SUBMITS RECOMMENDATIONS TO SEC FOR IMPROVING FUND INSPECTIONS _______________________...

1 See Memorandum to Compliance Committee No. 21-95, Investment Adviser Members No. 23-95, Investment Adviser Associate Members No. 17-95, Pension Members No. 28-95, SEC Rules Members No. 33-95 and State Securities Members No. 20-95, dated May 4, 1995. May 15, 1995 TO: COMPLIANCE...