Investment Advisers Content

[14285] December 31, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 26-01 INVESTMENT ADVISERS COMMITTEE No. 28-01 SEC RULES COMMITTEE No. 100-01 UNIT INVESTMENT TRUST COMMITTEE No. 29-01 RE: SEC SEMI-ANNUAL REGULATORY AGENDA The Securities and Exchange Commission has published...

[14186] November 29, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 61-01 EQUITY MARKETS ADVISORY COMMITTEE No. 50-01 INVESTMENT ADVISERS COMMITTEE No. 27-01 SEC RULES COMMITTEE No. 96-01 RE: CONFERENCE CALL REGARDING PROPOSED AIMR TRADE MANAGEMENT GUIDELINES SCHEDULED FOR DECEMBER 17 As...

[14161] November 19, 2001 TO: SEC RULES COMMITTEE No. 91-01 INVESTMENT ADVISERS COMMITTEE No. 26-01 COMPLIANCE ADVISORY COMMITTEE No. 57-01 EQUITY MARKETS ADVISORY COMMITTEE No. 46-01 RE: PROPOSED AIMR TRADE MANAGEMENT GUIDELINES The Association for Investment Management and Research...

[14077] October 23, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 25-01 RE: FINAL AGENDA FOR OCTOBER 29TH MEETING Attached is the final agenda for the Investment Advisers Committee meeting scheduled for Monday, October 29th at 1:00 p.m. (eastern time). If there are other issues that you...

[14066] October 18, 2001 TO: BOARD OF GOVERNORS No. 53-01 INVESTMENT ADVISERS COMMITTEE No. 24-01 SEC RULES COMMITTEE No. 84-01 RE: ICI RESPONSE TO SEC’S DENIAL OF RULEMAKING PETITION CONCERNING PORTFOLIO INVESTMENT PROGRAMS As we previously informed you, in August 2001 the Securities...

[14030] October 9, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 23-01 RE: NOTICE OF MEETING - OCTOBER 29, 2001 AT 1:00 P.M. A meeting of the Investment Advisers Committee has been scheduled for Monday, October 29, 2001 at the offices of the Investment Company Institute, 1401 H Street...

[13890] August 24, 2001 TO: BOARD OF GOVERNORS No. 41-01 INVESTMENT ADVISERS COMMITTEE No. 22-01 SEC RULES COMMITTEE No. 68-01 RE: SEC DENIES ICI RULEMAKING PETITION CONCERNING PORTFOLIO INVESTMENT PROGRAMS As we previously informed you, in March 2001 the Institute submitted a...

[13883] August 23, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 21-01 SEC RULES COMMITTEE No. 67-01 RE: SEC AND CFTC ADOPT RULES IMPLEMENTING COMMODITY FUTURES MODERNIZATION ACT OF 2000 As we previously advised you, in May the Securities and Exchange Commission (SEC) and the Commodity...

[13856] August 15, 2001 TO: SEC RULES COMMITTEE No. 66-01 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 13-01 INVESTMENT ADVISERS COMMITTEE No. 20-01 RE: INSTITUTE COMMENT LETTER ON NASDR PROPOSAL ON REQUIRED DISCLOSURES FOR SECURITIES RECOMMENDATIONS The Institute has filed a comment...

[13781] July 30, 2001 TO: SEC RULES COMMITTEE No. 64-01 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 12-01 INVESTMENT ADVISERS COMMITTEE No. 19-01 RE: DRAFT INSTITUTE COMMENT LETTER ON NASDR PROPOSAL ON REQUIRED DISCLOSURES FOR SECURITIES RECOMMENDATIONS As we previously informed you...