Compliance Advisory Content

November 29, 1993 TO: COMPLIANCE COMMITTEE NO. 28-93 TASK FORCE ON INSIDER TRADING RE: SEC REPORT ON BROKER-DEALER COMPLIANCE PROCEDURES FOR HIGH YIELD SECURITIES __________________________________________________________ The SEC's Division of Market Regulation recently issued the...

November 5, 1993 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 37-93 BANK INVESTMENT MANAGEMENT MEMBERS NO. 29-93 CLOSED-END FUND MEMBERS NO. 34-93 COMPLIANCE COMMITTEE NO. 27-93 CUSTODIAN ADVISORY COMMITTEE NO. 3-93 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 43-93 INVESTMENT ADVISER MEMBERS...

October 25, 1993 TO: COMPLIANCE COMMITTEE NO. 26-93 INVESTMENT ADVISERS COMMITTEE NO. 29-93 SEC RULES COMMITTEE NO. 93-93 RE: SEC SANCTIONS MUTUAL FUND ADVISER FOR VIOLATIONS OF THE 1940 ACT __________________________________________________________ The Securities and Exchange...

October 14, 1993 TO: COMPLIANCE COMMITTEE NO. 25-93 RE: NOTICE OF MEETING, NOVEMBER 16, 1993 __________________________________________________________ A meeting of the Compliance Committee has been scheduled for 10:00 a.m. on November 16, 1993. The meeting will be held in the...

October 5, 1993 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 31-93 ACCOUNTING/TREASURERS MEMBERS NO. 29-93 BROKER/DEALER ADVISORY COMMITTEE NO. 29-93 BROKER/DEALER ASSOCIATE MEMBERS NO. 25-93 COMPLIANCE COMMITTEE NO. 24-93 CUSTODIAN ADVISORY COMMITTEE NO. 2-93 DIRECT MARKETING COMMITTEE NO...

October 1, 1993 TO: COMPLIANCE COMMITTEE NO. 23-93 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 39-93 INVESTMENT ADVISER MEMBERS NO. 51-93 RE: INVESTMENT ADVISER AND ITS OWNER SETTLE ACTION BROUGHT FOR IMPROPER SECURITIES TRANSACTIONS ______________________________________________________...

October 1, 1993 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 30-93 BANK INVESTMENT MANAGEMENT MEMBERS NO. 24-93 CLOSED-END FUND MEMBERS NO. 33-93 COMPLIANCE COMMITTEE NO. 22-93 CUSTODIAN ADVISORY COMMITTEE NO. 1-93 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 38-93 INVESTMENT ADVISER MEMBERS...

September 23, 1993 TO: COMPLIANCE COMMITTEE NO. 21-93 SEC RULES MEMBERS NO. 74-93 RE: PROCEEDINGS INSTITUTED AGAINST MUTUAL FUND INVESTMENT ADVISER __________________________________________________________ The SEC has instituted public administrative proceedings against the...

September 22, 1993 TO: BOARD OF GOVERNORS NO. 83-93 CLOSED-END FUND MEMBERS NO. 30-93 COMPLIANCE COMMITTEE NO. 20-93 INVESTMENT ADVISER MEMBERS NO. 48-93 MEMBERS - ONE PER COMPLEX NO. 64-93 SEC RULES MEMBERS NO. 73-93 UNIT INVESTMENT TRUST MEMBERS NO. 35-93 RE: UPDATED DRAFTING GUIDES...

August 30, 1993 TO: COMPLIANCE COMMITTEE NO. 19-93 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 32-93 INVESTMENT ADVISER MEMBERS NO. 44-93 RE: SEC SANCTIONS INVESTMENT ADVISER FOR UNDISCLOSED COMPENSATION ARRANGEMENTS __________________________________________________________ The...