Investment Advisers Content

[15974] April 29, 2003 TO: INVESTMENT ADVISERS COMMITTEE No. 9-03 MONEY LAUNDERING RULES WORKING GROUP No. 26-03 SEC RULES COMMITTEE No. 42-03 RE: TREASURY PROPOSES INVESTMENT ADVISER AML PROGRAM RULE The Bank Secrecy Act, as amended by the USA PATRIOT Act, requires certain financial...

[15942] April 24, 2003 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 3-03 INVESTMENT ADVISERS COMMITTEE No. 8-03 PENSION COMMITTEE No. 11-03 SEC RULES COMMITTEE No. 39-03 RE: ICI COMMENT LETTER TO SEC ON NASD PROPOSAL RELATING TO INVESTMENT ANALYSIS TOOLS As indicated previously...

[15925] April 22, 2003 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 2-03 INVESTMENT ADVISERS COMMITTEE No. 7-03 PENSION COMMITTEE No. 10-03 SEC RULES COMMITTEE No. 35-03 RE: SEC RELEASE SEEKS COMMENT ON NASD PROPOSAL RELATING TO INVESTMENT ANALYSIS TOOLS; DRAFT INSTITUTE COMMENT...

[15797] March 24, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-03 COMPLIANCE ADVISORY COMMITTEE No. 23-03 INVESTMENT ADVISERS COMMITTEE No. 6-03 SEC RULES COMMITTEE No. 27-03 SMALL FUNDS COMMITTEE No. 10-03 UNIT INVESTMENT TRUST COMMITTEE No. 8-03 RE: DRAFT ICI COMMENT...

[15717] March 4, 2003 TO: SEC RULES COMMITTEE No. 22-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-03 INVESTMENT ADVISERS COMMITTEE No. 5-03 RE: DRAFT INSTITUTE LETTER ON NYSE AND NASD PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST As we previously...

URGENT/ACTION REQUESTED [15720] March 4, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-03 INVESTMENT ADVISERS COMMITTEE No. 4-03 SEC RULES COMMITTEE No. 21-03 SMALL FUNDS COMMITTEE No. 8-03 RE: DRAFT INSTITUTE COMMENT LETTER ON SEC’S PAPERWORK REDUCTION ACT ESTIMATES FOR...

[15651] February 12, 2003 TO: INVESTMENT ADVISERS COMMITTEE No. 3-03 RE: SEC PROPOSALS RELATING TO INVESTMENT COMPANY AND INVESTMENT ADVISER COMPLIANCE PROGRAMS; COMMENT REQUESTED ON ADDITIONAL APPROACHES TO ENHANCE COMPLIANCE The Securities and Exchange Commission has proposed new...

[15527] January 9, 2003 TO: SEC RULES COMMITTEE No. 5-03 INVESTMENT ADVISERS COMMITTEE No. 2-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-03 COMPLIANCE ADVISORY COMMITTEE No. 1-03 RE: NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST The...

[15515] January 7, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 1-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-03 INVESTMENT ADVISERS COMMITTEE No. 1-03 SEC RULES COMMITTEE No. 2-03 SMALL FUNDS COMMITTEE No. 1-03 UNIT INVESTMENT TRUST COMMITTEE No. 2-03 RE: INSTITUTE COMMENT...

[15481] December 20, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 56-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 57-02 INVESTMENT ADVISERS COMMITTEE No. 32-02 SEC RULES COMMITTEE No. 108-02 SMALL FUNDS COMMITTEE No. 22-02 UNIT INVESTMENT TRUST COMMITTEE No. 33-02 RE: DRAFT...