Compliance Advisory Content

August 20, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 26-93 COMPLIANCE COMMITTEE NO. 18-93 OPERATIONS COMMITTEE NO. 28-93 SEC RULES COMMITTEE NO. 75-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 44-93 UNIT INVESTMENT TRUST COMMITTEE NO. 35-93 RE: UPDATE ON PROPOSED FEDERAL TELEMARKETING...

August 4, 1993 TO: COMPLIANCE COMMITTEE NO. 17-93 SEC RULES MEMBERS NO. 60-93 TASK FORCE ON INSIDER TRADING RE: SECOND CIRCUIT UPHOLDS CRIMINAL CONVICTION OF PORTFOLIO MANAGER FOR INVESTMENT COMPANY ACT VIOLATIONS __________________________________________________________ The Second...

August 2, 1993 TO: CLOSED-END FUND COMMITTEE NO. 19-93 COMPLIANCE COMMITTEE NO. 16-93 INVESTMENT ADVISERS COMMITTEE NO. 22-93 SEC RULES COMMITTEE NO. 70-93 RE: INSTITUTE LETTER ON PROPOSED AMENDMENTS TO NASD FREE-RIDING AND WITHHOLDING INTERPRETATION __________________________________...

July 9, 1993 TO: COMPLIANCE COMMITTEE NO. 15-93 INSTITUTIONAL FUNDS COMMITTEE NO. 7-93 SEC RULES COMMITTEE NO. 60-93 STATE LIAISON COMMITTEE NO. 25-93 UNIT INVESTMENT TRUST COMMITTEE NO. 29-93 RE: INSTITUTE MEETS WITH NEBRASKA ATTORNEY GENERAL TO DISCUSS BANK SALES OF MUTUAL FUNDS ___...

July 9, 1993 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 24-93 COMPLIANCE COMMITTEE NO. 14-93 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 8-93 SEC RULES MEMBERS NO. 56-93 RE: SEC SANCTION WITH RESPECT TO PRICING ERROR __________________________________________________________ The...

June 30, 1993 TO: COMPLIANCE COMMITTEE NO. 13-93 INVESTMENT ADVISERS COMMITTEE NO. 20-93 SEC RULES COMMITTEE NO. 57-93 RE: SEC FURTHER CLARIFIES ROLE OF SUPERVISORS __________________________________________________________ As you may know, in administrative proceedings last year...

June 23, 1993 TO: CLOSED-END FUND COMMITTEE NO. 17-93 COMPLIANCE COMMITTEE NO. 12-93 INVESTMENT ADVISERS COMMITTEE NO. 15-93 SEC RULES COMMITTEE NO. 55-93 RE: NASD PROPOSES AMENDMENTS TO FREE-RIDING AND WITHHOLDING INTERPRETATION _______________________________________________________...

June 4, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 20-93 COMPLIANCE COMMITTEE NO. 11-93 OPERATIONS COMMITTEE NO. 21-93 SEC RULES COMMITTEE NO. 51-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 35-93 UNIT INVESTMENT TRUST COMMITTEE NO. 27-93 RE: PROPOSED FEDERAL TELEMARKETING LEGISLATION...

June 4, 1993 TO: COMPLIANCE COMMITTEE NO. 10-93 RE: LIST OF COMMITTEE MEMBERS __________________________________________________________ After the Compliance Committee meeting yesterday, the Chairperson of the Committee suggested circulating an updated list of the members of the...

May 19, 1993 TO: MEMBERS - ONE PER COMPLEX NO. 39-93 INVESTMENT ADVISER MEMBERS NO. 29-93 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 19-93 PENSION MEMBERS NO. 21-93 BROKER/DEALER ASSOCIATE MEMBERS NO. 12-93 COMPLIANCE COMMITTEE NO. 9-93 RE: REMINDER - 1993 INVESTMENT ADVISERS CONFERENCE...