Compliance Advisory Content

January 5, 1995 TO: COMPLIANCE COMMITTEE No. 2-95 PENSION MEMBERS No. 3-95 ABANDONED PROPERTY TASK FORCE RE: DEPARTMENT OF LABOR ADVISORY OPINION ON ERISA PREEMPTION OF TEXAS UNCLAIMED PROPERTY LAW ______________________________________________________________________________ Attached...

January 4, 1995 TO: COMPLIANCE COMMITTEE No. 1-95 INVESTMENT ADVISER MEMBERS No. 2-95 SEC RULES MEMBERS No. 1-95 RE: INVESTMENT MANAGERS CONSENT TO ORDERS ALLEGING VIOLATIONS OF ANTITRUST AND SECURITIES LAWS _____________________________________________________________________________...

December 22, 1994 TO: CLOSED-END FUND MEMBERS No. 46-94 COMPLIANCE COMMITTEE No. 25-94 INVESTMENT ADVISER MEMBERS No. 60-94 SEC RULES MEMBERS No. 91-94 UNIT INVESTMENT TRUST MEMBERS No. 46-94 RE: SEC APPROVES AMENDMENTS TO NASD'S FREE-RIDING AND WITHHOLDING INTERPRETATION ____________...

December 13, 1994 TO: COMPLIANCE COMMITTEE No. 24-94 INVESTMENT ADVISER MEMBERS No. 58-94 SEC RULES MEMBERS No. 89-94 STATE SECURITIES MEMBERS No. 51-94 RE: MARK YOUR CALENDAR - 1995 WORKSHOPS ______________________________________________________________________________ The Institute...

December 12, 1994 TO: COMPLIANCE COMMITTEE No. 23-94 INVESTMENT ADVISER MEMBERS No. 57-94 SEC RULES MEMBERS No. 88-94 RE: SEC SANCTIONS INVESTMENT ADVISER WITH RESPECT TO PROCEDURES AGAINST INSIDER TRADING ______________________________________________________________________________...

November 29, 1994 TO: BOARD OF GOVERNORS No. 118-94 COMPLIANCE COMMITTEE No. 22-94 SEC RULES COMMITTEE No. 126-94 MUTUAL FUND INTERNAL COMPLIANCE WORKING GROUP RE: INSTITUTE SUBMITS MUTUAL FUND INTERNAL COMPLIANCE PROPOSAL TO SEC _______________________________________________________...

November 17, 1994 TO: COMPLIANCE COMMITTEE No. 21-94 INVESTMENT ADVISERS COMMITTEE No. 56-94 SEC RULES COMMITTEE No. 121-94 RE: INSTITUTE TO SEEK INVESTMENT COMPANY/INVESTMENT ADVISER EXEMPTION FROM PUBLIC UTILITY HOLDING COMPANY REGULATION ____________________________________________...

October 31, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 54-94 BANK INVESTMENT MANAGEMENT MEMBERS NO. 31-94 CLOSED-END FUND MEMBERS NO. 35-94 COMPLIANCE COMMITTEE NO. 20-94 CUSTODIAN ADVISORY COMMITTEE NO. 2-94 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 44-94 INVESTMENT ADVISER MEMBERS...

October 19, 1994 TO: COMPLIANCE COMMITTEE NO. 19-94 INVESTMENT ADVISER MEMBERS NO. 48-94 SEC RULES MEMBERS NO. 72-94 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 41-94 RE: SEC ISSUES TWO ORDERS SANCTIONING PORTFOLIO MANAGERS FOR PERSONAL TRADING ACTIVITIES ________________________________...

October 14, 1994 TO: COMPLIANCE COMMITTEE NO. 18-94 RE: NOVEMBER 15 MEETING __________________________________________________________ A meeting of the Compliance Committee has been scheduled for November 15th. The meeting will be held at 10:00 a.m. in the Institute's David Silver...