[10924]
April 22, 1999
TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 15-99
COMPLIANCE ADVISORY COMMITTEE No. 13-99
INVESTMENT ADVISER ASSOCIATE MEMBERS No. 8-99
INVESTMENT ADVISER MEMBERS No. 8-99
SEC RULES MEMBERS No. 26-99
RE: SEC ISSUES FREQUENTLY ASKED QUESTIONS ON FORM 13F
______________________________________________________________________________
The SEC's Division of Investment Management recently issued the attached Frequently Asked
Questions ("FAQs") on Form 13F. As you know, Rule 13f-1 under the Securities Exchange Act of 1934
requires every institutional investment manager that exercises investment discretion with respect to
accounts holding in aggregate at least $100,000,000 in Section 13(f) securities to file Form 13F with the
SEC.
Among other things, the FAQs address who must file Form 13F, how to access the official list
of Section 13(f) securities, filing deadlines, and requests for confidential treatment. The FAQs also
address electronic filing of Form 13F on the SEC's EDGAR system, which is required as of April 1,
1999. The FAQs are attached and may also be accessed through the SEC's web site at www.sec.gov
under “Current SEC Rulemaking.”
Gregory M. Smith
Director - Operations/
Compliance & Fund Accounting
Attachment
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