Compliance Advisory Content

March 18, 1994 TO: BROKER/DEALER ASSOCIATE MEMBERS NO. 5-94 COMPLIANCE COMMITTEE NO. 7-94 OPERATIONS MEMBERS NO. 8-94 PENSION MEMBERS NO. 7-94 SEC RULES MEMBERS NO. 15-94 TRANSFER AGENT ADVISORY COMMITTEE NO. 10-94 RE: IRS OFFERS ASSISTANCE IN LOCATING MISSING INDIVIDUALS ____________...

March 18, 1994 TO: COMPLIANCE COMMITTEE NO. 6-94 SEC RULES MEMBERS NO. 14-94 SUBCOMMITTEE ON ADVERTISING NO. 6-94 RE: NASD REMINDS MEMBERS OF SALES PRACTICE OBLIGATIONS __________________________________________________________ The NASD recently published the attached Notice to remind...

March 15, 1994 TO: COMPLIANCE COMMITTEE NO. 5-94 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 13-94 INVESTMENT ADVISER MEMBERS NO. 12-94 SEC RULES MEMBERS NO. 13-94 STATE SECURITIES MEMBERS NO. 9-94 RE: 1994 INVESTMENT ADVISERS WORKSHOPS - REMINDER ________________________________________...

March 9, 1994 TO: COMPLIANCE COMMITTEE NO. 4-94 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 12-94 INVESTMENT ADVISER MEMBERS NO. 11-94 RE: SEC SANCTIONS INVESTMENT ADVISER FOR CUSTODY VIOLATIONS __________________________________________________________ The Securities and Exchange...

February 4, 1994 TO: COMPLIANCE COMMITTEE NO. 3-94 INVESTMENT ADVISERS COMMITTEE NO. 11-94 RE: ALLOCATION PROCEDURES __________________________________________________________ At the last meetings of the Investment Advisers and Compliance Committees, we discussed two recent SEC...

January 28, 1994 TO: COMPLIANCE COMMITTEE NO. 2-94 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 8-94 INVESTMENT ADVISER MEMBERS NO. 8-94 SEC RULES MEMBERS NO. 4-94 STATE SECURITIES MEMBERS NO. 5-94 RE: 1994 INVESTMENT ADVISER WORKSHOPS _____________________________________________________...

January 27, 1994 TO: COMPLIANCE COMMITTEE NO. 1-94 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 7-94 INVESTMENT ADVISER MEMBERS NO. 7-94 SOFT DOLLARS TASK FORCE RE: TWO SEC CASES RELATED TO SOFT DOLLAR PRACTICES __________________________________________________________ The Securities and...

December 30, 1993 TO: BROKER/DEALER ASSOCIATE MEMBERS NO. 29-93 COMPLIANCE COMMITTEE NO. 31-93 SEC RULES MEMBERS NO. 104-93 RE: SEC SANCTIONS FOR FAILURE TO SUPERVISE IN CONNECTION WITH MUTUAL FUND SALES __________________________________________________________ The Securities and...

December 13, 1993 TO: COMPLIANCE COMMITTEE NO. 30-93 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 48-93 INVESTMENT ADVISER MEMBERS NO. 59-93 SEC RULES MEMBERS NO. 97-93 STATE SECURITIES MEMBERS NO. 45-93 RE: INVESTMENT ADVISER WORKSHOPS SCHEDULED FOR 1994 _________________________________...

December 10, 1993 TO: COMPLIANCE COMMITTEE NO. 29-93 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 46-93 INVESTMENT ADVISER MEMBERS NO. 57-93 RE: SEC SANCTIONS AN INVESTMENT ADVISER'S OFFICER CONCERNING ITS ALLOCATION OF SECURITIES AND AGENCY CROSS TRANSACTIONS ____________________________...