Investment Advisers Content

[16452] August 20, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 61-03 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 18-03 INVESTMENT ADVISERS COMMITTEE No. 19-03 SEC RULES MEMBERS No. 110-03 RE: SETTLEMENT OF SEC ADMINISTRATIVE PROCEEDING AGAINST ADVISER IN CONNECTION WITH ITS VOTING OF...

[16295] July 14, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 40-03 BROKER/DEALER ADVISORY COMMITTEE No. 22-03 COMPLIANCE ADVISORY COMMITTEE No. 54-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-03 INTERNATIONAL COMMITTEE No. 43-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 30-03...

[16259] July 7, 2003 TO: INVESTMENT ADVISERS COMMITTEE No. 17-03 MONEY LAUNDERING RULES WORKING GROUP No. 45-03 SEC RULES COMMITTEE No. 64-03 RE: ICI COMMENT LETTER ON PROPOSED ANTI-MONEY LAUNDERING PROGRAM REQUIREMENT FOR INVESTMENT ADVISERS The Institute submitted a comment letter...

[16250] June 27, 2003 TO: INVESTMENT ADVISERS COMMITTEE No. 16-03 MONEY LAUNDERING RULES WORKING GROUP No. 43-03 SEC RULES COMMITTEE No. 62-03 RE: DRAFT ICI COMMENT LETTER ON PROPOSED ANTI-MONEY LAUNDERING PROGRAM REQUIREMENT FOR INVESTMENT ADVISERS As previously indicated, the...

[16240] June 26, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 37-03 BROKER/DEALER ADVISORY COMMITTEE No. 20-03 COMPLIANCE ADVISORY COMMITTEE No. 50-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-03 INTERNATIONAL COMMITTEE No. 40-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 28-03...

[16199] June 12, 2003 TO: SEC RULES COMMITTEE No. 57-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 40-03 INVESTMENT ADVISERS COMMITTEE No. 14-03 RE: DRAFT INSTITUTE LETTER ON NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST As we previously...

[16175] June 9, 2003 TO: INVESTMENT ADVISERS COMMITTEE No. 13-03 RE: DRAFT AGENDA FOR JUNE 19TH MEETING Attached is the draft agenda for the Investment Advisers Committee meeting scheduled for Thursday, June 19th at 1:30 p.m. in the David Silver Conference Room at the Institute. If...

[16165] June 5, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 22-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 38-03 COMPLIANCE ADVISORY COMMITTEE No. 43-03 INVESTMENT ADVISERS COMMITTEE No. 12-03 OPERATIONS COMMITTEE No. 9-03 SEC RULES COMMITTEE No. 54-03 SMALL FUNDS COMMITTEE No. 21...

[16143] June 2, 2003 TO: SEC RULES COMMITTEE No. 51-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-03 INVESTMENT ADVISERS COMMITTEE No. 11-03 RE: NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST The Securities and Exchange Commission has...

[16117] May 27, 2003 TO: INVESTMENT ADVISERS COMMITTEE No. 10-03 RE: NOTICE OF MEETING - JUNE 19TH A meeting of the Investment Advisers Committee has been scheduled for Thursday, June 19th at the offices of the Investment Company Institute, 1401 H Street, N.W., Washington, D.C. The...