Investment Advisers Content

[15248] October 8, 2002 TO: SEC RULES COMMITTEE No. 81-02 INVESTMENT ADVISERS COMMITTEE No. 21-02 COMPLIANCE ADVISORY COMMITTEE No. 85-02 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED AIMR RESEARCH OBJECTIVITY STANDARDS As we previously informed you,1 the Association for Investment...

[15226] October 2, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 19-02 INVESTMENT ADVISERS COMMITTEE No. 20-02 PENSION COMMITTEE No. 40-02 SEC RULES COMMITTEE No. 79-02 RE: ICI COMMENT LETTER ON NASD’S PROPOSED INTERPRETIVE MATERIAL REGARDING THE USE OF INVESTMENT ANALYSIS...

[15168] September 13, 2002 TO: SEC RULES COMMITTEE No. 76-02 COMPLIANCE ADVISORY COMMITTEE No. 76-02 INVESTMENT ADVISERS COMMITTEE No. 19-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-02 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED SEC REGULATION RELATING TO ANALYST...

[15157] September 11, 2002 TO: INVESTMENT ADVISERS COMMITTEE No. 18-02 RE: ICI DRAFT COMMENT LETTER ON SEC’S PROPOSED AMENDMENTS TO THE CUSTODY RULE UNDER THE ADVISERS ACT As we previously informed you, in July, the Securities and Exchange Commission proposed for comment substantial...

URGENT/ACTION REQUESTED [15137] September 9, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 17-02 INVESTMENT ADVISERS COMMITTEE No. 17-02 PENSION COMMITTEE No. 37-02 SEC RULES COMMITTEE No. 73-02 RE: ICI DRAFT COMMENT LETTER ON NASD’S PROPOSED INTERPRETIVE MATERIAL REGARDING...

[15061] August 22, 2002 TO: SEC RULES COMMITTEE No. 67-02 COMPLIANCE ADVISORY COMMITTEE No. 63-02 INVESTMENT ADVISERS COMMITTEE No. 16-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-02 RE: PROPOSED SEC REGULATION RELATING TO ANALYST CERTIFICATION The Securities and Exchange...

ACTION REQUESTED [15056] August 20, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 15-02 INVESTMENT ADVISERS COMMITTEE No. 15-02 PENSION COMMITTEE No. 33-02 SEC RULES COMMITTEE No. 65-02 RE: NASD PROPOSED INTERPRETIVE MATERIAL REGARDING INVESTMENT ANALYSIS TOOLS NASD has...

[14962] July 26, 2002 TO: SEC RULES COMMITTEE No. 62-02 INVESTMENT ADVISERS COMMITTEE No. 14-02 COMPLIANCE ADVISORY COMMITTEE No. 53-02 RE: PROPOSED AIMR RESEARCH OBJECTIVITY STANDARDS The Association for Investment Management and Research (“AIMR”) has published for comment proposed...

[14950] July 24, 2002 TO: INVESTMENT ADVISERS COMMITTEE No. 13-02 RE: SEC PROPOSES AMENDMENTS TO THE CUSTODY RULE UNDER THE ADVISERS ACT The Securities and Exchange Commission has proposed for comment substantial amendments to update and modernize Rule 206(4)-2 under the Investment...

[14832] June 28, 2002 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 22-02 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 16-02 INVESTMENT ADVISERS COMMITTEE No. 11-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 49-02 SEC RULES MEMBERS No. 45-02 UNIT INVESTMENT TRUST MEMBERS No. 15-02 RE: SUMMARY...