Investment Advisers Content

[14839] June 27, 2002 TO: SEC RULES COMMITTEE No. 50-02 INVESTMENT ADVISERS COMMITTEE No. 10-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 25-02 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC RULE PROPOSALS REGARDING TRANSACTIONS WITH PORTFOLIO AND SUBADVISORY AFFILIATES As we previously...

[14784] June 4, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-02 INVESTMENT ADVISERS COMMITTEE No. 9-02 SEC RULES COMMITTEE No. 44-02 UNIT INVESTMENT TRUST COMMITTEE No. 14-02 RE: SEC SEMI-ANNUAL REGULATORY AGENDA The Securities and Exchange Commission has published its semi...

[14699] May 7, 2002 TO: SEC RULES COMMITTEE No. 38-02 INVESTMENT ADVISERS COMMITTEE No. 8-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-02 RE: SEC RULE PROPOSALS REGARDING TRANSACTIONS OF INVESTMENT COMPANIES WITH PORTFOLIO AND SUBADVISORY AFFILIATES The Securities and Exchange...

[14683] May 3, 2002 TO: BOARD OF GOVERNORS No. 18-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19-02 INVESTMENT ADVISERS COMMITTEE No. 7-02 SEC RULES COMMITTEE No. 35-02 UNIT INVESTMENT TRUST COMMITTEE No. 11-02 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 3-02 RE: ICI...

[14644] April 16, 2002 TO: INVESTMENT ADVISERS COMMITTEE No. 6-02 RE: DRAFT AGENDA FOR UPCOMING COMMITTEE MEETING Attached please find a copy of the draft agenda for the upcoming meeting of the Investment Advisers Committee. The meeting will be held at the Institute’s offices at 1401...

[14619] April 9, 2002 TO: INVESTMENT ADVISERS COMMITTEE No. 5-02 RE: DRAFT ICI REGULATORY REFORM INITIATIVES RELATING TO INVESTMENT ADVISER REGULATION In connection with plans to undertake a comprehensive review of the federal securities laws, SEC Chairman Harvey Pitt has invited the...

[14561] April 1, 2002 TO: INVESTMENT ADVISERS COMMITTEE No. 4-02 RE: MEETING NOTICE - APRIL 29TH A meeting of the Investment Advisers Committee has been scheduled for Monday, April 29th, 2002 at the offices of the Investment Company Institute, 1401 H Street, N.W., Washington, D.C. The...

[14464] February 14, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 14-02 EQUITY MARKETS ADVISORY COMMITTEE No. 9-02 INVESTMENT ADVISERS COMMITTEE No. 3-02 SEC RULES COMMITTEE No. 18-02 RE: INSTITUTE COMMENT LETTER ON AIMR TRADE MANAGEMENT GUIDELINES As we previously informed you,1 in...

[14419] February 1, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 4-02 COMPLIANCE ADVISORY COMMITTEE No. 9-02 INVESTMENT ADVISERS COMMITTEE No. 2-02 SEC RULES COMMITTEE No. 11-02 RE: DC COURT HOLDS FEDERAL TRADE COMMISSION NOT BARRED FROM INVESTIGATING SEC REGISTRANT’S...

[14410] January 30, 2002 TO: SEC RULES COMMITTEE No. 10-02 INVESTMENT ADVISERS COMMITTEE No. 1-02 COMPLIANCE ADVISORY COMMITTEE No. 7-02 EQUITY MARKETS ADVISORY COMMITTEE No. 5-02 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED AIMR TRADE MANAGEMENT GUIDELINES As we previously informed...