Compliance Advisory Content

May 7, 1993 TO: COMPLIANCE COMMITTEE NO. 8-93 RE: NOTICE OF MEETING, JUNE 3, 1993 __________________________________________________________ A meeting of the Compliance Committee has been scheduled for 10:00 a.m. on June 3, 1993. The meeting will be held in the Institute's David...

April 14, 1993 TO: MEMBERS - ONE PER COMPLEX NO. 30-93 INVESTMENT ADVISER MEMBERS NO. 20-93 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 13-93 PENSION MEMBERS NO. 16-93 BROKER/DEALER ASSOCIATE MEMBERS NO. 10-93 COMPLIANCE COMMITTEE NO. 7-93 RE: 1993 INVESTMENT ADVISERS CONFERENCE ________...

April 6, 1993 TO: SEC RULES COMMITTEE NO. 31-93 STATE LIAISON COMMITTEE NO. 19-93 UNIT INVESTMENT TRUST COMMITTEE NO. 18-93 COMPLIANCE COMMITTEE NO. 6-93 RE: INSTITUTE COMMENTS ON NEBRASKA REQUIREMENT REGARDING REPRESENTATION OF BROKER-DEALER AND AGENT STATUS _________________________...

March 9, 1993 TO: INVESTMENT ADVISER MEMBERS NO. 14-93 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 10-93 COMPLIANCE COMMITTEE NO. 5-93 RE: SEC SANCTIONS FOR FRAUD IN CONNECTION WITH ADVISER'S ADVERTISEMENTS __________________________________________________________ The Securities and...

February 8, 1993 TO: INVESTMENT ADVISER MEMBERS NO. 11-93 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 6-93 COMPLIANCE COMMITTEE NO. 4-93 RE: SEC SANCTIONS ADVISER FOR BOOKS AND RECORDS VIOLATIONS __________________________________________________________ The Securities and Exchange...

January 29, 1993 TO: BOARD OF GOVERNORS NO. 8-93 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 2-93 SEC RULES MEMBERS NO. 15-93 COMPLIANCE COMMITTEE NO. 2-93 RE: SEC SANCTIONS WITH RESPECT TO MONEY MARKET FUND PURCHASE OF UNRATED SECURITIES _______________________________________________...

1January 29, 1993 TO: SEC RULES MEMBERS NO. 16-93 COMPLIANCE COMMITTEE NO. 3-93 RE: ILLINOIS COURT FINDS PRIVATE RIGHT OF ACTION UNDER SECTION 17(j) OF THE 1940 ACT __________________________________________________________ In a recent case brought by a class of mutual fund investors...

January 18, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 4-93 COMPLIANCE COMMITTEE NO. 1-93 DIRECT MARKETING COMMITTEE NO. 3-93 OPERATIONS MEMBERS NO. 7-93 SEC RULES MEMBERS NO. 9-93 SALES FORCE MARKETING COMMITTEE NO. 3-93 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 2-93 UNIT...

December 16, 1992 TO: BOARD OF GOVERNORS NO. 91-92 SEC RULES MEMBERS NO. 71-92 COMPLIANCE COMMITTEE NO. 25-92 RE: SEC CLARIFIES ROLE OF SUPERVISORS IN ADMINISTRATIVE ORDER AGAINST SENIOR MANAGEMENT OF SECURITIES FIRM __________________________________________________________ In recent...

December 8, 1992 TO: SEC RULES MEMBERS NO. 67-92 COMPLIANCE COMMITTEE NO. 24-92 RE: PORTFOLIO MANAGER’S FAILURE TO DISCLOSE AGREEMENT TO RESELL SECURITIES TO BROKER-DEALER VIOLATES 1940 ACT __________________________________________________________ The SEC has imposed sanctions on a...