Investment Advisers Content

[13775] July 26, 2001 TO: BOARD OF GOVERNORS No. 37-01 INVESTMENT ADVISERS COMMITTEE No. 18-01 SEC RULES COMMITTEE No. 63-01 RE: ICI RESPONSE TO LETTER OPPOSING RULEMAKING PETITION CONCERNING PORTFOLIO INVESTMENT PROGRAMS As we previously informed you, in March 2001 the Institute...

[13724] July 12, 2001 TO: SEC RULES COMMITTEE No. 56-01 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 10-01 INVESTMENT ADVISERS COMMITTEE No. 17-01 RE: NASDR PROPOSAL ON REQUIRED DISCLOSURES FOR SECURITIES RECOMMENDATIONS NASD Regulation (“NASDR”) has issued a Notice to Members1...

[13434] June 29, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-01 COMPLIANCE ADVISORY COMMITTEE No. 28-01 INVESTMENT ADVISERS COMMITTEE No. 16-01 SEC RULES COMMITTEE No. 50-01 UNIT INVESTMENT TRUST COMMITTEE No. 18-01 RE: FTC AMENDS PREMERGER NOTIFICATION RULES - RELATED...

[13604] June 7, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 24-01 INVESTMENT ADVISERS COMMITTEE No. 15-01 SEC RULES COMMITTEE No. 43-01 RE: REGULATION FD AND THE USE OF CONFIDENTIALITY AGREEMENTS Members have informed us that following the adoption of Regulation Fair Disclosure last...

[13540] May 24, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-01 INVESTMENT ADVISERS COMMITTEE No. 14-01 SEC RULES COMMITTEE No. 40-01 UNIT INVESTMENT TRUST COMMITTEE No. 16-01 RE: SEC SEMI-ANNUAL REGULATORY AGENDA The Securities and Exchange Commission has published its semi...

[13516] May 17, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 13-01 SEC RULES COMMITTEE No. 38-01 RE: SEC AND CFTC PROPOSE RULES IMPLEMENTING COMMODITY FUTURES MODERNIZATION ACT OF 2000 The Securities and Exchange Commission and the Commodity Futures Trading Commission have proposed...

[13428] April 20, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 12-01 ELECTRONIC COMMERCE ADVISORY COMMITTEE No. 9-01 OPERATIONS COMMITTEE No. 15-01 TRANSFER AGENT ADVISORY COMMITTEE No. 29-01 UNIT INVESTMENT TRUST COMMITTEE No. 14-01 RE: INSTITUTE COMMENT LETTER ON SEC ELECTRONIC...

[13402] April 10, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 11-01 SEC RULES COMMITTEE No. 34-01 ELECTRONIC COMMERCE ADVISORY COMMITTEE No. 8-01 OPERATIONS COMMITTEE No. 14-01 TRANSFER AGENT ADVISORY COMMITTEE No. 28-01 UNIT INVESTMENT TRUST COMMITTEE No. 13-01 RE: SEC PROPOSAL...

[13319] April 3, 2001 TO: BOARD OF GOVERNORS No. 16-01 INVESTMENT ADVISERS COMMITTEE No. 9-01 SEC RULES COMMITTEE No. 32-01 RE: INSTITUTE RULEMAKING PETITION CONCERNING PORTFOLIO INVESTMENT PROGRAMS The Institute has submitted to the Securities and Exchange Commission the attached...

[13337] April 3, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 10-01 SEC RULES COMMITTEE No. 33-01 SMALL FUNDS COMMITTEE No. 3-01 STATE SECURITIES MEMBERS No. 4-01 RE: NASAA PUBLISHES REVISED FORMS U-4 AND U-5 FOR COMMENT In anticipation of the rollout of the next phase of Investment...