Investment Advisers Content

[22347] March 14, 2008 TO: INTERNATIONAL COMMITTEE No. 9-08INVESTMENT ADVISERS COMMITTEE No. 5-08 RE: CANADIAN SECURITIES REGULATORS RE - PROPOSE REVISED REGISTRATION REQUIREMENTS FOR INVESTMENT ADVISERS AND FUND MANAGERS The Canadian Securities Administrators (CSA) has proposed for...

    [22305]   March 7, 2008 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-08 COMPLIANCE ADVISORY COMMITTEE No. 4-08 INVESTMENT ADVISERS COMMITTEE No. 3-08 OPERATIONS COMMITTEE No. 5-08 PRIVACY ISSUES WORKING GROUP No. 1-08 SEC RULES COMMITTEE No. 18-08 SMALL FUNDS COMMITTEE No. 7...

[22173] January 31, 2008 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 4-08 INTERNATIONAL COMMITTEE No. 6-08 INVESTMENT ADVISERS COMMITTEE No. 2-08 SEC RULES COMMITTEE No. 9-08 RE: CANADIAN SECURITIES REGULATORS RE- PROPOSE SOFT DOLLAR REGULATIONS   The Canadian Securities Administrators...

    [22130]   January 16, 2008 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 2-08 INTERNATIONAL COMMITTEE No. 3-08 INVESTMENT ADVISERS COMMITTEE No. 1-08 SEC RULES COMMITTEE No. 5-08     RE: IOSCO ISSUES FINAL REPORT ON SOFT COMMISSION ARRANGEMENTS FOR COLLECTIVE INVESTMENT SCHEMES    ...

    [22030]   December 10, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 39-07 INVESTMENT ADVISERS COMMITTEE No. 20-07 SEC RULES COMMITTEE No. 93-07 SMALL FUNDS COMMITTEE No. 40-07     RE: DRAFT INSTITUTE COMMENT LETTER ON SEC PROPOSAL TO MANDATE EDGAR FILINGS OF EXEMPTIVE...

  [21936]   November 8, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 38-07 INVESTMENT ADVISERS COMMITTEE No. 19-07 SEC RULES COMMITTEE No. 85-07 SMALL FUNDS COMMITTEE No. 38-07 RE: SEC PROPOSES TO MANDATE EDGAR FILING OF EXEMPTIVE APPLICATIONS; CONFERENCE CALL ON NOVEMBER 15  ...

    [21692]   October 1, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-07 INVESTMENT ADVISERS COMMITTEE No. 18-07 SEC RULES COMMITTEE No. 75-07 SMALL FUNDS COMMITTEE No. 36-07     RE: DRAFT INSTITUTE COMMENT LETTER ON SEC PROPOSAL TO AMEND REGULATION D; OCTOBER 3rd...

  [21609]   September 18, 2007 TO: COMPLIANCE ADVISORY COMMITTEE No. 19-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-07 UNIT INVESTMENT TRUST COMMITTEE No. 8-07 INVESTMENT ADVISERS COMMITTEE No. 17-07 PRIVACY ISSUES WORKING GROUP No. 9-07 SMALL FUNDS COMMITTEE No. 34-07...

[21454]   August 9, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-07 INVESTMENT ADVISERS COMMITTEE No. 16-07 SEC RULES COMMITTEE No. 63-07 SMALL FUNDS COMMITTEE No. 32-07 RE: SEC PROPOSES REVISIONS TO REGULATION D; AUGUST 30TH CONFERENCE CALL   The Securities and Exchange...

[21440]   August 7, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-07 COMPLIANCE ADVISORY COMMITTEE No. 16-07 INVESTMENT ADVISERS COMMITTEE No. 15-07 SEC RULES COMMITTEE No. 62-07 RE: DRAFT NO-ACTION LETTER REGARDING ADVISER CODES OF ETHICS   Attached is a draft letter...