Investment Advisers Content

1 See Memorandum to Operations Committee No. 40-97, Transfer Agent Advisory Committee No. 67-97, SEC Rules Committee No. 113-97, Closed-End Investment Company Committee No. 47-97, and Unit Investment Trust Committee No. 68-97, dated November 19, 1997. 2 SEC Release Nos. 33-7766, 34...

[11305] October 13, 1999 TO: INVESTMENT ADVISERS COMMITTEE No. 15-99 RE: DRAFT AGENDA FOR OCTOBER 20TH MEETING ______________________________________________________________________________ Attached is a draft agenda for the Investment Advisers Committee meeting scheduled for...

[11278] September 29, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 31-99 DIRECT MARKETING COMMITTEE No. 14-99 INVESTMENT ADVISERS COMMITTEE No. 14-99 OPERATIONS MEMBERS No. 21-99 PENSION MEMBERS No. 35-99 PENSION OPERATIONS ADVISORY COMMITTEE No. 44-99 PRIMARY CONTACTS - MEMBER...

1 Review of the Commission’s Regulations Governing Attribution Ownership Rule, FCC 99-207 (MM Docket Nos. 94-150, 92-51, and 87- 154), 64 Fed. Reg. 50622 (Sept. 17, 1999) (summarizing the Commission’s Report and Order, FCC 99-207, Aug. 5, 1999) (the “Release”). 2 See Memorandum to...

[11253] September 17, 1999 TO: INVESTMENT ADVISERS COMMITTEE No. 12-99 RE: NOTICE OF MEETING - OCTOBER 20TH ______________________________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for Wednesday, October 20th...

[11248] September 15, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 29-99 BROKER/DEALER ADVISORY COMMITTEE No. 25-99 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-99 COMPLIANCE ADVISORY COMMITTEE No. 35-99 EQUITY MARKETS ADVISORY COMMITTEE No. 29-99 FIXED-INCOME ADVISORY COMMITTEE No...

1 The House version of the bill, H.R. 2488 (the “Financial Freedom Act of 1999”), was passed by the House on July 22, 1999. See Institute Memorandum to Pension Committee No. 46-99 and Pension Operations Advisory Committee No. 36-99, dated July 28, 1999, for a discussion of pension...

1[11147] July 30, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 24-99 BROKER/DEALER ADVISORY COMMITTEE No. 20-99 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-99 COMPLIANCE ADVISORY COMMITTEE No. 31-99 EQUITY MARKETS ADVISORY COMMITTEE No. 27-99 FIXED-INCOME ADVISORY COMMITTEE No. 4...

[11093] July 1, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 21-99 BROKER/DEALER ADVISORY COMMITTEE No. 17-99 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 22-99 COMPLIANCE ADVISORY COMMITTEE No. 27-99 EQUITY MARKETS ADVISORY COMMITTEE No. 25-99 FIXED-INCOME ADVISORY COMMITTEE No. 2-99...

1 SEC Release No. 34-41479 (June 4, 1999); 64 Fed. Reg. 31667 (June 11, 1999). To briefly summarize the chronology of events, in December 1997, the Exchange proposed amendments to its shareholder approval policy, which, among other things, codified existing Exchange interpretation...