Investment Advisers Content

1 See Institute Memorandum to Investment Advisers Committee No. 17-99 and Pension Committee No. 71-99, dated December 17, 1999. [11590] January 28, 2000 TO: INVESTMENT ADVISERS COMMITTEE No. 5-00 PENSION COMMITTEE No. 9-00 AD HOC COMMITTEE ON CROSS-TRADES RE: DRAFT COPIES OF INSTITUTE...

1 Securities Exchange Act Release No. 42325 (January 10, 2000), 65 FR 2656 (January 18, 2000) (“Proposing Release”). 2 The current Interpretation defines a “hot issue” as any security that trades “at a premium” whenever secondary market trading begins. The NASD and the SEC have stated...

* See Memorandum to Closed-End Investment Company Committee No. 44-99, Investment Advisers Committee No. 16- 99, Operations Committee No. 43-99, SEC Rules Committee No. 96-99, Small Funds Committee No. 18-99, Transfer Agent Advisory Committee No. 70-99, and Unit Investment Trust...

* See Memorandum to Investment Advisers Committee No. 18-99 and SEC Rules Committee No. 107-99, dated December 20, 1999. [11555] January 18, 2000 TO: INVESTMENT ADVISERS COMMITTEE No. 3-00 SEC RULES COMMITTEE No. 10-00 RE: INSTITUTE COMMENTS ON THE SEC'S PROPOSAL TO EXCLUDE CERTAIN...

1 Institute Memorandum to Investment Advisers Committee No. 17-99; Pension Committee No. 71-99; and Pension Operations Advisory Committee No. 57-99, dated December 17, 1999. [11535] January 10, 2000 TO: INVESTMENT ADVISERS COMMITTEE No. 1-00 PENSION COMMITTEE No. 2-00 AD HOC COMMITTEE...

[11506] December 31, 1999 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 53-99 INVESTMENT ADVISERS COMMITTEE No. 21-99 SEC RULES COMMITTEE No. 115-99 UNIT INVESTMENT TRUST COMMITTEE No. 34-99 RE: SEC SEMI-ANNUAL REGULATORY AGENDA ______________________________________________________...

* See Memorandum to Closed-End Investment Company Committee No. 44-99, Investment Advisers Committee No. 16- 99, Operations Committee No. 43-99, SEC Rules Committee No. 96-99, Small Funds Committee No. 18-99, Transfer Agent Advisory Committee No. 70-99, and Unit Investment Trust...

1 See Institute Memorandum to Investment Advisers Committee No. 17-99 and Pension Committee No. 71-99, dated December 17, 1999. [11488] December 27, 1999 TO: INVESTMENT ADVISERS COMMITTEE No. 19-99 PENSION COMMITTEE No. 73-99 AD HOC COMMITTEE ON CROSS-TRADES RE: INSTITUTE MEETING ON...

* See Memorandum to Investment Adviser Members No. 25-99, SEC Rules Members No. 67-99 and Investment Adviser Associate Members No. 28-99, dated November 8, 1999. [11482] December 20, 1999 TO: INVESTMENT ADVISERS COMMITTEE No. 18-99 SEC RULES COMMITTEE No. 107-99 RE: INSTITUTE DRAFT...

[11478] December 17, 1999 TO: INVESTMENT ADVISERS COMMITTEE No. 17-99 PENSION COMMITTEE No. 71-99 PENSION OPERATIONS ADVISORY COMMITTEE No. 57-99 RE: DEPARTMENT OF LABOR RELEASES PROPOSED CLASS EXEMPTION ON PASSIVE CROSS-TRADES AND NOTICE OF HEARING ON ACTIVE CROSS-TRADES ____________...