Compliance Advisory Content

1 See Memorandum to Compliance Committee No. 16-94, Direct Marketing Committee No. 28-94, Sales Force Marketing Committee No. 38-94, SEC Rules Members No. 65-94 and Unit Investment Trust Members No. 37-94, dated September 19, 1994. February 27, 1995 TO: COMPLIANCE COMMITTEE No. 12-95...

February 24, 1995 TO: COMPLIANCE COMMITTEE No. 11-95 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 8-95 INVESTMENT ADVISER MEMBERS No. 11-95 PENSION MEMBERS No. 12-95 SEC RULES MEMBERS No. 11-95 STATE SECURITIES MEMBERS No. 10-95 RE: 1995 INVESTMENT ADVISERS CONFERENCE - MARK YOUR CALENDAR...

February 22, 1995 TO: COMPLIANCE COMMITTEE No. 10-95 INVESTMENT ADVISERS COMMITTEE No. 15-95 SEC RULES COMMITTEE No. 27-95 UNIT INVESTMENT TRUST COMMITTEE No. 19-95 RE: FCC SEEKS COMMENT ON POSSIBLE CHANGES TO BROADCAST MEDIA ATTRIBUTION RULES _________________________________________...

* Securities and Exchange Commission v. John Kaweske, No. 95-N-296 (D. Co. filed Feb. 6, 1995). February 9, 1995 TO: BOARD OF GOVERNORS No. 27-95 COMPLIANCE COMMITTEE No. 9-95 INVESTMENT ADVISERS COMMITTEE No. 11-95 SEC RULES COMMITTEE No. 19-95 RE: SEC FILES COMPLAINT AGAINST FORMER...

1 See Memorandum to Compliance Committee No. 3-95, Investment Advisers Committee No. 6-95, SEC Rules Committee No. 10-95 and Unit Investment Trust Committee No. 7-95, dated January 23, 1995. February 7, 1995 TO: COMPLIANCE COMMITTEE No. 8-95 INVESTMENT ADVISERS COMMITTEE No. 10-95 SEC...

February 7, 1995 TO: ACCOUNTING/TREASURERS MEMBERS No. 8-95 COMPLIANCE COMMITTEE No. 6-95 MEMBERS - ONE PER COMPLEX No. 15-95 OPERATIONS MEMBERS No. 7-95 SEC RULES MEMBERS No. 7-95 TAX MEMBERS No. 12-95 RE: REMINDER - 1995 PORTFOLIO COMPLIANCE WORKSHOPS _______________________________...

February 7, 1995 TO: ACCOUNTING/TREASURERS MEMBERS No. 9-95 CLOSED-END FUND MEMBERS No. 4-95 COMPLIANCE COMMITTEE No. 7-95 INDEPENDENT ACCOUNTANTS ADV. GROUP No. 2-95 SEC RULES MEMBERS No. 8-95 UNIT INVESTMENT TRUST MEMBERS No. 8-95 RE: SEC STAFF ISSUES 1995 GENERIC COMMENT LETTER AND...

February 6, 1995 TO: ACCOUNTING/TREASURERS COMMITTEE No. 9-95 COMPLIANCE COMMITTEE No. 5-95 SEC RULES COMMITTEE No. 17-95 UNIT INVESTMENT TRUST COMMITTEE No. 14-95 RE: SEC PROPOSES ADMENDMENTS TO RULES 24f-1 AND 24f-2 UNDER THE 1940 ACT ________________________________________________...

January 24, 1995 TO: ACCOUNTING/TREASURERS MEMBERS No. 5-95 COMPLIANCE COMMITTEE No. 4-95 MEMBERS - ONE PER COMPLEX No. 8-95 OPERATIONS MEMBERS No. 4-95 SEC RULES MEMBERS No. 3-95 TAX MEMBERS No. 7-95 RE: 1995 PORTFOLIO COMPLIANCE WORKSHOPS ____________________________________________...

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. January 23, 1995 TO: COMPLIANCE COMMITTEE No. 3-95 INVESTMENT ADVISERS COMMITTEE No. 6-95 SEC RULES COMMITTEE No. 10-95 UNIT...