Investment Advisers Content

[10994] May 19, 1999 TO: INVESTMENT ADVISERS COMMITTEE No. 6-99 RE: CHANGE OF MEETING DATE - MEETING NOW SET FOR JUNE 15 ______________________________________________________________________________ Due to scheduling conflicts, the Investment Advisers Committee meeting has been...

[10980] May 13, 1999 TO: INVESTMENT ADVISERS COMMITTEE No. 5-99 RE: NOTICE OF MEETING - JUNE 8TH ______________________________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for Tuesday, June 8, 1999 at the offices of...

[10956] May 4, 1999 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-99 INVESTMENT ADVISERS COMMITTEE No. 4-99 SEC RULES COMMITTEE No. 33-99 UNIT INVESTMENT TRUST COMMITTEE No. 9-99 RE: SEC SEMI-ANNUAL REGULATORY AGENDA _______________________________________________________________...

[10922] April 21, 1999 TO: INVESTMENT ADVISERS COMMITTEE No. 3-99 RE: UPDATE ON NASAA COMPETENCY EXAMINATION FOR INVESTMENT ADVISER REPRESENTATIVES (SERIES 65) ______________________________________________________________________________ During the NASAA Spring Conference this week...

[10670] January 26, 1999 TO: INVESTMENT ADVISERS COMMITTEE No. 2-99 RE: NOTICE OF MEETING - FEBRUARY 23RD ______________________________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for Tuesday, February 23, 1999 at...

*See Memorandum to Investment Advisers Committee No. 37-98 and SEC Rules Committee No. 120-98, dated November 24, 1998. [10618] January 5, 1999 TO: INVESTMENT ADVISERS COMMITTEE No. 1-99 SEC RULES COMMITTEE No. 1-99 RE: SEC EXTENDS COMMENT PERIOD ON NYSE'S PROPOSED AMENDMENTS TO ITS...

* See Memorandum to Investment Advisers Committee No. 36-98, dated November 12, 1998. [10586] December 21, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 41-98 RE: ICI SUBMITS LETTER TO THE SEC REGARDING THE SEC REQUIRING ADDITIONAL DISCLOSURE OF AN ADVISER'S SOFT DOLLAR PRACTICES _______...

* See Memorandum to Investment Advisers Committee No. 39-98 and SEC Rules Committee No. 124-98, dated December 4, 1998. [10551] December 10, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 40-98 SEC RULES COMMITTEE No. 125-98 RE: ICI COMMENT LETTER ON NYSE'S PROPOSED AMENDMENTS TO ITS...

* See Memorandum to Investment Advisers Committee No. 37-98 and SEC Rules Committee No. 120-98, dated November 24, 1998. [10535] December 4, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 39-98 SEC RULES COMMITTEE No. 124-98 RE: ICI DRAFT LETTER ON NYSE'S PROPOSED AMENDMENTS TO ITS...

1 Securities Act Release No. 33-7606A, November 13, 1998 (File No. S7-30-98). 2 Securities Act Release No. 33-7607, November 3, 1998 (File No. S7-28-98). 3 The proposals can be found on the SEC’s web site at www.sec.gov/rules/propridx.htm. If you wish to obtain a copy of the proposals...