Investment Advisers Content

    [23493]   May 28, 2009 TO: SEC RULES COMMITTEE No. 27-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-09 SMALL FUNDS COMMITTEE No. 8-09 INVESTMENT ADVISERS COMMITTEE No. 3-09     RE: ICI DRAFT COMMENT LETTER ON FINRA NOTICE TO MEMBERS...

    [23481]   May 22, 2009 TO: ACCOUNTING/TREASURERS COMMITTEE No. 9-09 INVESTMENT ADVISERS COMMITTEE No. 2-09 SEC RULES COMMITTEE No. 26-09     RE: SEC PROPOSES AMENDMENTS TO INVESTMENT ADVISER CUSTODY RULE; CONFERENCE CALL SCHEDULED FOR JUNE 4   The Securities and Exchange...

[23427] April 30, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-09 INVESTMENT ADVISERS COMMITTEE No. 1-09 SEC RULES COMMITTEE No. 21-09 SMALL FUNDS COMMITTEE No. 7-09 RE: FINRA NOTICE TO MEMBERS ON ASSOCIATED PERSON REPORTING OF...

    [23116]   December 10, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 21-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-08 COMPLIANCE ADVISORY COMMITTEE No. 19-08 ETF ADVISORY COMMITTEE No. 36-08 EQUITY MARKETS ADVISORY COMMITTEE No...

    [23013] October 23, 2008 TO: ETF ADVISORY COMMITTEE No. 32-08 EQUITY MARKETS ADVISORY COMMITTEE No. 56-08 SEC RULES COMMITTEE No. 74-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-08 ACCOUNTING/TREASURERS COMMITTEE No. 13-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-08...

    [22489]   May 5, 2008 TO: COMPLIANCE ADVISORY COMMITTEE No. 8-08 INVESTMENT ADVISERS COMMITTEE No. 9-08 SEC RULES COMMITTEE No. 34-08 SMALL FUNDS COMMITTEE No. 16-08     RE: ICI DRAFT COMMENT LETTER ON THE SEC’S PROPOSED AMENDMENTS TO PART 2 OF FORM ADV   As we previously informed...

    [22411]   April 10, 2008 TO: INTERNATIONAL COMMITTEE No. 11-08 INVESTMENT ADVISERS COMMITTEE No. 8-08     RE: INSTITUTE’S COMMENT LETTER - CANADIAN SECURITIES ADMINISTRATORS’ REVISED PROPOSAL ON SOFT DOLLARS   In January, the Canadian Securities Administrators (CSA) proposed...

    [22407]   April 9, 2008 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-08 COMPLIANCE ADVISORY COMMITTEE No. 7-08 INVESTMENT ADVISERS COMMITTEE No. 7-08 OPERATIONS COMMITTEE No. 8-08 PRIVACY ISSUES WORKING GROUP No. 2-08 SEC RULES COMMITTEE No. 28-08 SMALL FUNDS COMMITTEE No...

    [22361]   March 19, 2008 TO: INTERNATIONAL COMMITTEE No. 10-08 INVESTMENT ADVISERS COMMITTEE No. 6-08     RE: DRAFT COMMENT LETTER - CANADIAN SECURITIES ADMINISTRATORS' REVISED PROPOSAL ON SOFT DOLLARS   In January, the Canadian Securities Administrators (CSA) proposed revised...

[22342] March 14, 2008 TO: COMPLIANCE ADVISORY COMMITTEE No. 6-08INVESTMENT ADVISERS COMMITTEE No. 4-08SEC RULES COMMITTEE No. 22-08SMALL FUNDS COMMITTEE No. 9-08 RE: SEC PROPOSES AMENDMENTS TO PART 2 OF FORM ADV; CONFERENCE CALL SCHEDULED FOR MARCH 28, 2008 The Securities and...