Investment Advisers Content

[13329] April 2, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 8-01 SEC RULES COMMITTEE No. 31-01 RE: ICI COMMENT LETTER ON SEC PROPOSAL TO REQUIRE DISCLOSURE OF EQUITY COMPENSATION PLANS IN PROXY STATEMENTS AND FORM 10-K REPORTS The Institute has filed a comment letter with the...

[13315] March 28, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 7-01 RE: INSTITUTE COMMENT LETTER ON SEC PROPOSAL TO AMEND RULE 10F-3 UNDER THE INVESTMENT COMPANY ACT The Institute has filed the attached comment letter with the Securities and Exchange Commission regarding its proposal to...

[13312] March 28, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 6-01 RE: PRELIMINARY AGENDA FOR APRIL 5TH MEETING Attached is the preliminary agenda for the Investment Advisers Committee meeting scheduled for Thursday, April 5th at the Institute’s offices. The meeting will be held in the...

[13263] March 14, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 5-01 SEC RULES COMMITTEE No. 25-01 ELECTRONIC COMMERCE ADVISORY COMMITTEE No. 5-01 OPERATIONS COMMITTEE No. 10-01 TRANSFER AGENT ADVISORY COMMITTEE No. 22-01 RE: SEC PROPOSAL REGARDING ELECTRONIC RECORDKEEPING BY INVESTMENT...

[13250] March 13, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 4-01 RE: NOTICE OF MEETING - APRIL 5TH A meeting of the Investment Advisers Committee has been scheduled for Thursday, April 5th, 2001 at the offices of the Investment Company Institute, 1401 H Street, N.W., Washington, D.C...

[13125] March 6, 2001 TO: ACCOUNTING/TREASURERS COMMITTEE No. 5-01 COMPLIANCE ADVISORY COMMITTEE No. 11-01 INVESTMENT ADVISERS COMMITTEE No. 3-01 SEC RULES MEMBERS No. 18-01 RE: ALJ ORDERS SANCTIONS IN CONNECTION WITH MUTUAL FUND INVESTMENTS AND SOFT DOLLAR ARRANGEMENTS A Securities...

[13121] February 5, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 2-01 SEC RULES COMMITTEE No. 14-01 RE: INSTITUTE COMMENT LETTER TO NASDAQ CONCERNING SHAREHOLDER APPROVAL REQUIREMENTS FOR STOCK OPTION PLANS The Institute recently filed with the Nasdaq Stock Market, Inc. the attached...

[13056] January 23, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 1-01 SEC RULES COMMITTEE No. 10-01 RE: INSTITUTE DRAFT COMMENT LETTER TO NASDAQ CONCERNING SHAREHOLDER APPROVAL REQUIREMENTS FOR STOCK OPTION PLANS The Nasdaq Stock Market, Inc. recently issued a Bulletin soliciting...

[12957] December 22, 2000 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-00 INVESTMENT ADVISERS COMMITTEE No. 26-00 SEC RULES COMMITTEE No. 134-00 UNIT INVESTMENT TRUST COMMITTEE No. 32-00 RE: SEC SEMI-ANNUAL REGULATORY AGENDA The Securities and Exchange Commission published its...

[12942] December 18, 2000 TO: SEC RULES COMMITTEE No. 133-00 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-00 EQUITY MARKETS ADVISORY COMMITTEE No. 63-00 UNIT INVESTMENT TRUST COMMITTEE No. 30-00 INVESTMENT ADVISERS COMMITTEE No. 25-00 RE: NASD AMENDS PROPOSED RULE CHANGE RELATING TO...