Investment Advisers Content

[26517] September 24, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 42-12 BROKER/DEALER ADVISORY COMMITTEE No. 47-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-12 COMPLIANCE ADVISORY COMMITTEE No. 3-12 FIXED-INCOME ADVISORY COMMITTEE No. 21-12 INVESTMENT ADVISERS...

[26312] July 18, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-12 COMPLIANCE ADVISORY COMMITTEE No. 2-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 34-12 ETF ADVISORY COMMITTEE No. 25-12 FIXED-INCOME ADVISORY COMMITTEE No. 17-12 INVESTMENT ADVISERS COMMITTEE No. 1-12 SEC...

  [25035] March 21, 2011 TO: BROKER/DEALER ADVISORY COMMITTEE No. 17-11 CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-11 INVESTMENT ADVISERS COMMITTEE No. 3-11 TRANSFER AGENT ADVISORY COMMITTEE No. 21-11 RE: SEC SEEKS COMMENT ON REQUIRING PAYMENT AGENTS TO PROVIDE NOTICE OF UNCASHED CHECKS...

  [24976] February 18, 2011 TO: 529 PLAN ADVISORY COMMITTEE No. 2-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 13-11 BROKER/DEALER ADVISORY COMMITTEE No. 11-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-11 COMPLIANCE ADVISORY COMMITTEE No. 3-11 FIXED-INCOME ADVISORY...

[24871] January 12, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-11 INVESTMENT ADVISERS COMMITTEE No. 1-11 SEC RULES COMMITTEE No. 5-11 SMALL FUNDS COMMITTEE No. 4-11 RE: DRAFT ICI LETTER ON PROPOSED CHANGES TO FORM ADV AND AMENDMENTS TO “PAY-TO-PLAY” RULE   As you know, the...

    [24821]   December 30, 2010   TO: FIXED-INCOME ADVISORY COMMITTEE No. 39-10 INVESTMENT ADVISERS COMMITTEE No. 3-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 56-10 SEC RULES COMMITTEE No. 71-10 RE: SEC ISSUES REGISTRATION REQUIREMENTS FOR MUNICIPAL ADVISORS   The Securities and...

  [24746]   November 30, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-10 INVESTMENT ADVISERS COMMITTEE No. 2-10 SEC RULES COMMITTEE No. 60-10 SMALL FUNDS COMMITTEE No. 24-10 RE: SEC PROPOSES CHANGES TO FORM ADV AND AMENDMENTS TO "PAY TO PLAY" RULE AS PART OF BROADER INVESTMENT...

    [24510]   August 24, 2010 TO: INVESTMENT ADVISERS COMMITTEE No. 1-10 SEC RULES COMMITTEE No. 35-10 RE: DRAFT COMMENT LETTER ON SEC'S IA/BD STUDY; COMMENTS DUE TO ICI BY AUGUST 27   As we previously informed you, the Securities and Exchange Commission is seeking comment for a study...

    [23831]   September 30, 2009 TO: SEC RULES COMMITTEE No. 58-09 529 PLAN ADVISORY COMMITTEE No. 4-09 INVESTMENT ADVISERS COMMITTEE No. 5-09     RE: ICI DRAFT LETTER ON SEC PAY-TO-PLAY RESTRICTIONS FOR INVESTMENT ADVISERS; COMMENTS REQUESTED BY OCTOBER 5   The Securities and...

    [23683]   August 7, 2009 TO: SEC RULES COMMITTEE No. 46-09 529 PLAN ADVISORY COMMITTEE No. 3-09 INVESTMENT ADVISERS COMMITTEE No. 4-09     RE: SEC PROPOSES PAY-TO-PLAY RESTRICTIONS FOR INVESTMENT ADVISERS   The Securities and Exchange Commission has proposed to inhibit pay-to-play...