Compliance Advisory Content

April 8, 1992 TO: SEC RULES MEMBERS NO. 16-92 COMPLIANCE COMMITTEE NO. 3-92 RE: SEC IMPOSES SANCTIONS ON FUND PORTFOLIO MANAGER FOR FAILURE TO RECORD ARRANGEMENT TO RESELL CERTAIN HIGH YIELD BONDS TO BROKER-DEALER __________________________________________________________ The SEC...

April 7, 1992 TO: COMPLIANCE COMMITTEE NO. 2-92 RE: NOTICE OF MEETING, MAY 13, 1992 __________________________________________________________ A meeting of the Compliance Committee has been scheduled for 10:00 a.m. on Wednesday, May 13, 1992. The meeting will be held in the Institute...

January 17, 1992 TO: COMPLIANCE COMMITTEE NO. 1-92 BROKER/DEALER ASSOCIATE MEMBERS NO. 1-92 RE: NASD REVISES SERIES 26 EXAMINATION __________________________________________________________ For your information, attached is an NASD Notice to Members reporting that the Series 26...

December 24, 1991 TO: SEC RULES MEMBERS NO. 60-91 COMPLIANCE COMMITTEE NO. 11-91 RE: COURT PERMANENTLY ENJOINS REGISTERED INVESTMENT COMPANY FROM INVESTMENT COMPANY ACT VIOLATIONS __________________________________________________________ In a case brought by the Securities and...

November 18, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 59-91 SEC RULES MEMBERS NO. 54-91 ACCOUNTING/TREASURERS COMMITTEE NO. 23-91 UNIT INVESTMENT TRUST MEMBERS NO. 55-91 OPERATIONS MEMBERS NO. 29-91 INVESTMENT ADVISER MEMBERS NO. 51-91 CLOSED-END FUND MEMBERS NO. 48-91 INSTITUTIONAL...

October 24, 1991 TO: COMPLIANCE COMMITTEE NO. 9-91 RE: DRAFT AGENDA FOR NOVEMBER 7 MEETING __________________________________________________________ Attached is a draft agenda for the Compliance Committee meeting scheduled for November 7 at 10:00 a.m. The meeting will be held in the...

October 21, 1991 TO: COMPLIANCE COMMITTEE NO. 8-91 SUBCOMMITTEE ON ADVERTISING RE: NASD PROPOSES TO EXPAND EXEMPTIONS FROM BRANCH OFFICE REGISTRATION UNDER SECTION 27 OF THE RULES OF FAIR PRACTICE __________________________________________________________ The NASD has proposed an...

October 17, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 53-91 SEC RULES MEMBERS NO. 49-91 ACCOUNTING/TREASURERS COMMITTEE NO. 21-91 UNIT INVESTMENT TRUST MEMBERS NO. 49-91 OPERATIONS MEMBERS NO. 26-91 INVESTMENT ADVISER MEMBERS NO. 47-91 CLOSED-END FUND MEMBERS NO. 44-91 INSTITUTIONAL...

September 26, 1991 TO: COMPLIANCE COMMITTEE NO. 6-91 RE: NOTICE OF MEETING; NOVEMBER 7, 1991 __________________________________________________________ The next meeting for the Compliance Committee has been scheduled for November 7, 1991 at 10:00 a.m. The meeting will be held in the...

July 9, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 23-91 BROKER/DEALER ASSOCIATE MEMBERS NO. 3-91 COMPLIANCE COMMITTEE NO. 5-91 RE: NASD/NYSE JOINT MEMO ON CHINESE WALL POLICIES AND PROCEDURES __________________________________________________________ As we previously informed you...