Compliance Advisory Content

November 9, 1992 TO: MEMBERS - ONE PER COMPLEX NO. 39-92 SEC RULES MEMBERS NO. 60-92 ACCOUNTING/TREASURERS COMMITTEE NO. 44-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 69-92 UNIT INVESTMENT TRUST COMMITTEE NO. 66-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 46-92 INVESTMENT ADVISER...

November 4, 1992 TO: COMPLIANCE COMMITTEE NO. 22-92 RE: CODES OF ETHICS; CHINESE WALL PROCEDURES __________________________________________________________ Codes of Ethics At the October 29 meeting of the Compliance Committee, we discussed several recent cases that had been brought...

October 28, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 32-92 COMPLIANCE COMMITTEE NO. 21-92 DIRECT MARKETING COMMITTEE NO. 42-92 OPERATIONS MEMBERS NO. 42-92 SEC RULES MEMBERS NO. 54-92 SALES FORCE MARKETING COMMITTEE NO. 43-92 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 34-92 UNIT...

October 19, 1992 TO: MEMBERS - ONE PER COMPLEX NO. 36-92 SEC RULES MEMBERS NO. 48-92 ACCOUNTING/TREASURERS COMMITTEE NO. 40-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 60-92 UNIT INVESTMENT TRUST MEMBERS NO. 52-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 42-92 INVESTMENT ADVISER MEMBERS...

October 16, 1992 TO: SEC RULES MEMBERS NO. 47-92 SMALL FUNDS COMMITTEE NO. 17-92 COMPLIANCE COMMITTEE NO. 19-92 TAX MEMBERS NO. 66-92 RE: NO-ACTION LETTER PERMITTING INVOLUNTARY REDEMPTION FOR FAILURE TO SUPPLY TIN __________________________________________________________ The...

October 5, 1992 TO: INVESTMENT ADVISER MEMBERS NO. 47-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 37-92 COMPLIANCE COMMITTEE NO. 18-92 RE: SEC SANCTIONS ADVISER AND PRINCIPAL FOR FRAUD IN CONNECTION WITH ITS ADVERTISEMENTS __________________________________________________________ The...

September 29, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 29-92 COMPLIANCE COMMITTEE NO. 17-92 DIRECT MARKETING COMMITTEE NO. 37-92 OPERATIONS COMMITTEE NO. 31-92 SALES FORCE MARKETING COMMITTEE NO. 38-92 SEC RULES MEMBERS NO. 43-92 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 31-92...

September 25, 1992 TO: INVESTMENT ADVISER MEMBERS NO. 45-92 SEC RULES MEMBERS NO. 42-92 COMPLIANCE COMMITTEE NO. 16-92 RE: SEC SANCTIONS ADVISER AND PRINCIPAL FOR MISAPPROPRIATING INVESTMENT COMPANY ASSETS __________________________________________________________ The Securities and...

September 23, 1992 TO: INVESTMENT ADVISER MEMBERS NO. 41-92 SEC RULES MEMBERS NO. 39-92 COMPLIANCE COMMITTEE NO. 12-92 RE: SEC REVOKES REGISTRATION OF ADVISER FOR FAILURE TO REIMBURSE FUND EXPENSES __________________________________________________________ The Securities and Exchange...

September 23, 1992 TO: INVESTMENT ADVISER MEMBERS NO. 42-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 34-92 COMPLIANCE COMMITTEE NO. 13-92 SEC RULES MEMBERS NO. 40-92 RE: SEC SANCTIONS INVESTMENT ADVISER HOLDING COMPANY FOR SECTION 13 (d) VIOLATIONS ____________________________________...