Investment Advisers Content

[28315] August 15, 2014 TO: FIXED-INCOME ADVISORY COMMITTEE No. 13-14 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 7-14 INTERNATIONAL COMMITTEE No. 26-14 INVESTMENT ADVISERS COMMITTEE No. 6-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 20-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 16...

[28189] June 16, 2014 TO: FIXED-INCOME ADVISORY COMMITTEE No. 8-14 INTERNATIONAL COMMITTEE No. 17-14 INVESTMENT ADVISERS COMMITTEE No. 5-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 12-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 9-14 SEC RULES COMMITTEE No. 26-14 SMALL FUNDS...

[27869] January 29, 2014 TO: INVESTMENT ADVISERS COMMITTEE No. 3-14 529 PLAN ADVISORY COMMITTEE No. 5-14 RE: ICI DRAFT COMMENT LETTER ON MSRB PROPOSED CONDUCT RULE G-42; COMMENT REQUESTED BY FEBRUARY 21st; MSRB WEBINAR ON FEB. 6th   As we previously informed you, the Municipal...

[27825] January 9, 2014 TO: MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 1-14 INVESTMENT ADVISERS COMMITTEE No. 1-14 529 PLAN ADVISORY COMMITTEE No. 2-14 RE: MSRB PUBLISHES PROPOSED CONDUCT RULE FOR MUNICIPAL ADVISORS; CALL TO DISCUSS SCHEDULED FOR THURSDAY, JAN. 16th AT 2PM EASTERN  ...

[27553] September 10, 2013 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 16-13 INVESTMENT ADVISERS COMMITTEE No. 4-13 SEC RULES COMMITTEE No. 35-13 SMALL FUNDS COMMITTEE No. 19-13 RE: DRAFT ICI LETTER ON PROPOSED MEASURES RELATING TO GENERAL SOLICITATION AND ADVERTISING FOR...

[27370] July 12, 2013 TO: SEC RULES COMMITTEE No. 29-13 SMALL FUNDS COMMITTEE No. 15-13 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 15-13 INVESTMENT ADVISERS COMMITTEE No. 3-13 RE: SEC LIFTS BAN ON GENERAL SOLICITATION AND ADVERTISING FOR PRIVATE FUNDS AND PROPOSES RELATED INVESTOR...

[27326] June 20, 2013 TO: SEC RULES COMMITTEE No. 27-13 INVESTMENT ADVISERS COMMITTEE No. 2-13 SMALL FUNDS COMMITTEE No. 14-13 PENSION COMMITTEE No. 13-13 RE: DRAFT COMMENT LETTER TO SEC IN RESPONSE TO RFI ON POSSIBLE FIDUCIARY DUTY FOR BROKER-DEALERS AND IA-BD HARMONIZATION; COMMENTS...

[27100] March 11, 2013 TO: INVESTMENT ADVISERS COMMITTEE No. 1-13 PENSION COMMITTEE No. 6-13 SEC RULES COMMITTEE No. 14-13 SMALL FUNDS COMMITTEE No. 7-13 RE: NOTICE OF COMMITTEE CONFERENCE CALL: SEC REQUESTS DATA ON POSSIBLE FIDUCIARY DUTY FOR BROKER-DEALERS AND IA-BD HARMONIZATION  ...

URGENT/ACTION REQUESTED [26551] October 4, 2012 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 19-12 INVESTMENT ADVISERS COMMITTEE No. 4-12 SEC RULES COMMITTEE No. 60-12 RE: SECOND DRAFT OF ICI LETTER ON PROPOSED RULES TO IMPLEMENT THE JOBS ACT   As you know, ICI circulated a draft...

  [26530] September 27, 2012 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 18-12 INVESTMENT ADVISERS COMMITTEE No. 3-12 SEC RULES COMMITTEE No. 59-12 RE: DRAFT ICI LETTER ON PROPOSED RULES TO IMPLEMENT THE JOBS ACT   As you know, Congress enacted the Jumpstart Our Business...