Investment Advisers Content

©2005 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [19204] October 3, 2005 TO: CLOSED-END INVESTMENT COMPANY...

©2005 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [19060] September 8, 2005 TO: CHIEF COMPLIANCE OFFICER...

©2005 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [19017] July 14, 2005 TO: COMPLIANCE ADVISORY COMMITTEE No...

[18507] February 7, 2005 TO: INVESTMENT ADVISERS COMMITTEE No. 6-05 SEC RULES COMMITTEE No. 11-05 RE: INSTITUTE LETTER ON PROPOSED SEC RULE AND INTERPRETIVE STATEMENT EXCLUDING CERTAIN BROKERS FROM THE ADVISERS ACT Last month, the Securities and Exchange Commission proposed permanent...

[18475] January 28, 2005 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-05 INVESTMENT ADVISERS COMMITTEE No. 5-05 SEC RULES COMMITTEE No. 9-05 SMALL FUNDS COMMITTEE No. 2-05 UNIT INVESTMENT TRUST COMMITTEE No. 1-05 RE: SEC SEMI-ANNUAL REGULATORY AGENDA Last month, the Securities...

[18446] January 24, 2005 TO: INVESTMENT ADVISERS COMMITTEE No. 4-05 SEC RULES COMMITTEE No. 8-05 RE: INSTITUTE DRAFT LETTER ON PROPOSED SEC RULE AND INTERPRETIVE STATEMENT EXCLUDING CERTAIN BROKERS FROM THE ADVISERS ACT Earlier this month, the Securities and Exchange Commission...

[18425] January 18, 2005 TO: SEC RULES COMMITTEE No. 4-05 COMPLIANCE ADVISORY COMMITTEE No. 5-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-05 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-05 SMALL FUNDS MEMBERS No. 7-05 TECHNOLOGY ADVISORY COMMITTEE No. 2-05 INVESTMENT ADVISERS...

[18410] January 12, 2005 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-05 COMPLIANCE ADVISORY COMMITTEE No. 2-05 INVESTMENT ADVISERS COMMITTEE No. 2-05 SEC RULES COMMITTEE No. 3-05 SMALL FUNDS COMMITTEE No. 1-05 RE: DRAFTING GUIDE FOR CODES OF ETHICS UNDER RULES 17j-1 AND 204A-1...

[18397] January 7, 2005 TO: INVESTMENT ADVISERS COMMITTEE No. 1-05 SEC RULES COMMITTEE No. 1-05 RE: SEC ADOPTS TEMPORARY RULE EXCLUDING CERTAIN BROKERS FROM THE ADVISERS ACT AND SEEKS COMMENT ON ADOPTION OF PERMANENT RULE On January 6th, the Securities and Exchange Commission adopted...

[18322] December 10, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 33-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 46-04 COMPLIANCE ADVISORY COMMITTEE No. 118-04 EQUITY MARKETS ADVISORY COMMITTEE No. 51-04 INVESTMENT ADVISERS COMMITTEE No. 20-04 SEC RULES COMMITTEE No. 97-04 SMALL...