Compliance Advisory Content

May 5, 1995 TO: COMPLIANCE COMMITTEE No. 22-95 RE: JUNE 6 MEETING ______________________________________________________________________________ A meeting of the Compliance Committee has been scheduled for June 6th. The meeting will be held at 2:00 p.m. in the InstituteGs David Silver...

May 4, 1995 TO: COMPLIANCE COMMITTEE No. 21-95 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 17-95 INVESTMENT ADVISER MEMBERS No. 23-95 PENSION MEMBERS No. 28-95 SEC RULES MEMBERS No. 33-95 STATE SECURITIES MEMBERS No. 20-95 RE: 1995 INVESTMENT ADVISERS CONFERENCE BROCHURE AND REGISTRATION...

May 4, 1995 TO: COMPLIANCE COMMITTEE No. 20-95 INVESTMENT ADVISER MEMBERS No. 22-95 SEC RULES MEMBERS No. 32-95 SUBCOMMITTEE ON ADVERTISING No. 6-95 RE: SEC ADMINISTRATIVE PROCEEDINGS FOR ALLEGEDLY FALSE ADVERTISEMENTS __________________________________________________________________...

April 19, 1995 TO: COMPLIANCE COMMITTEE No. 19-95 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 15-95 INVESTMENT ADVISER MEMBERS No. 20-95 RE: SEC COMMISSIONER'S SPEECH ON THE ROLE OF COMPLIANCE PERSONNEL FOR INVESTMENT ADVISERS _____________________________________________________________...

1 See Memorandum to Compliance Committee No. 10-95, Investment Advisers Committee No. 15-95, SEC Rules Committee No. 27-95 and Unit Investment Trust Committee No. 19-95, dated February 22, 1995. April 18, 1995 TO: COMPLIANCE COMMITTEE No. 18-95 INVESTMENT ADVISERS COMMITTEE No. 21-95...

1 See Memorandum to SEC Rules Members No. 22-95, dated March 29, 1995. March 30, 1995 TO: COMPLIANCE COMMITTEE No. 17-95 SEC RULES COMMITTEE No. 49-95 RE: RECOMMENDATIONS FOR IMPROVING MUTUAL FUND INSPECTIONS ____________________________________________________________________________...

March 13, 1995 TO: CLOSED-END FUND MEMBERS No. 8-95 COMPLIANCE COMMITTEE No. 16-95 SEC RULES MEMBERS No. 18-95 RE: SEC PROCEEDINGS INSTITUTED AGAINST FUND ADVISERS FOR ALLEGED DIVERSION OF INVESTMENT OPPORTUNITIES _______________________________________________________________________...

March 9, 1995 TO: ACCOUNTING/TREASURERS MEMBERS No. 14-95 COMPLIANCE COMMITTEE No. 15-95 SEC RULES MEMBERS No. 17-95 RE: SEC SANCTIONS PORTFOLIO MANAGER FOR FALSIFYING PRICES OF FUND SECURITIES ______________________________________________________________________________ The...

March 3, 1995 TO: COMPLIANCE COMMITTEE No. 14-95 INVESTMENT ADVISER MEMBERS No. 13-95 SEC RULES MEMBERS No. 15-95 RE: SEC SANCTIONS PORTFOLIO MANAGER WITH RESPECT TO PERSONAL INVESTING ACTIVITIES ______________________________________________________________________________ The...

March 2, 1995 TO: COMPLIANCE COMMITTEE No. 13-95 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 11-95 INVESTMENT ADVISERS COMMITTEE No. 17-95 SEC RULES COMMITTEE No. 33-95 RE: AIMR REPORT ON PERSONAL INVESTING ______________________________________________________________________________ A...