Compliance Advisory Content

September 22, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 47-94 BANK INVESTMENT MANAGEMENT MEMBERS NO. 29-94 CLOSED-END FUND MEMBERS NO. 28-94 COMPLIANCE COMMITTEE NO. 17-94 CUSTODIAN ADVISORY COMMITTEE NO. 1-94 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 39-94 INVESTMENT ADVISER...

September 19, 1994 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 UNIT INVESTMENT TRUST MEMBERS NO. 37-94 RE: ADOPTION OF FEDERAL TELEMARKETING LEGISLATION __________________________________...

August 26, 1994 TO: COMPLIANCE COMMITTEE NO. 15-94 SEC RULES COMMITTEE NO. 98-94 RE: RECOMMENDATIONS OF THE ADVISORY GROUP ON PERSONAL TRADING __________________________________________________________ On July 26th, the Institute held a meeting of members to discuss the Advisory Group...

July 14, 1994 TO: COMPLIANCE COMMITTEE NO. 14-94 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 30-94 INVESTMENT ADVISER MEMBERS NO. 34-94 SEC RULES MEMBERS NO. 48-94 RE: SEC SANCTIONS, IMPOSES PERSONAL TRADING PROCEDURES ON FUND ADVISER _____________________________________________________...

July 12, 1994 TO: COMPLIANCE COMMITTEE NO. 13-94 SEC RULES COMMITTEE NO. 74-94 RE: INSTITUTE MEETING ON RECOMMENDATIONS OF THE ADVISORY GROUP ON PERSONAL INVESTING __________________________________________________________ As you may know, the Institute's Board of Governors recently...

July 1, 1994 TO: CLOSED-END FUND MEMBERS NO. 20-94 COMPLIANCE COMMITTEE NO. 12-94 MEMBERS - ONE PER COMPLEX NO. 43-94 SEC RULES MEMBERS NO. 45-94 UNIT INVESTMENT TRUST MEMBERS NO. 27-94 RE: INSTITUTE BOARD OF GOVERNORS APPROVES RECOMMENDATIONS OF THE ADVISORY GROUP ON PERSONAL...

June 3, 1994 TO: COMPLIANCE COMMITTEE NO. 11-94 MONEY MARKET FUNDS AD HOC COMMITTEE NO. 13-94 SEC RULES MEMBERS NO. 42-94 RE: SEC NO-ACTION LETTER CONCERNING USE OF OUTSIDE SERVICES IN MAKING CREDIT QUALITY DETERMINATIONS UNDER RULE 2a-7 _______________________________________________...

May 23, 1994 TO: COMPLIANCE COMMITTEE NO. 10-94 SEC RULES MEMBERS NO. 38-94 RE: RECEIVER APPOINTED TO ADMINISTER MUTUAL FUND __________________________________________________________ The U.S. District Court for the Southern District of Florida granted the Securities and Exchange...

May 9, 1994 TO: CLOSED-END FUND MEMBERS NO. 13-94 COMPLIANCE COMMITTEE NO. 9-94 INVESTMENT ADVISER MEMBERS NO. 21-94 SEC RULES MEMBERS NO. 32-94 UNIT INVESTMENT TRUST MEMBERS NO. 16-94 RE: ISSUANCE OF REPORT OF THE ADVISORY GROUP ON PERSONAL INVESTING _________________________________...

April 29, 1994 TO: COMPLIANCE COMMITTEE NO. 8-94 RE: JUNE 21 MEETING __________________________________________________________ A meeting of the Compliance Committee has been scheduled for June 21. The meeting will be held at 10:00 a.m. in the Institute's David Silver Conference Room...