Investment Advisers Content

1 SEC Release No. 34-40679; File No. SR-NYSE-98-32 (Nov. 13, 1998); 63 Fed. Reg. 64304 (Nov. 19, 1998). 2 See Memorandum to Investment Advisers Committee No. 33-98 and SEC Rules Committee No. 100-98, dated October 8, 1998. See also, Memorandum to Investment Advisers Committee No. 30...

[10477] November 12, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 36-98 RE: DRAFT LETTER TO THE SEC REGARDING THE SEC REQUIRING ADDITIONAL DISCLOSURE OF AN ADVISER'S SOFT DOLLAR PRACTICES ______________________________________________________________________________ The SEC staff's...

[10472] November 11, 1998 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 25-98 INVESTMENT ADVISERS COMMITTEE No. 35-98 SEC RULES COMMITTEE No. 114-98 UNIT INVESTMENT TRUST COMMITTEE No. 35-98 RE: SEC SEMI-ANNUAL REGULATORY AGENDA ______________________________________________________...

[10458] November 6, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 48-98 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-98 DIRECT MARKETING COMMITTEE No. 20-98 FEDERAL LEGISLATION COMMITTEE No. 2-98 INDUSTRY STATISTICS COMMITTEE No. 15-98 INTERNATIONAL COMMITTEE No. 33-98 INVESTMENT...

1 In a comment letter on the April amendments, the Institute suggested the following: (1) that all stock option plans (non- broadly based and broadly based) be subject to shareholder approval if they are likely to have a dilutive effect on existing shareholders; (2) that the...

[10357] October 7, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 32-98 RE: DRAFT AGENDA FOR OCTOBER 20 MEETING ______________________________________________________________________________ Attached is a draft agenda for the Investment Advisers Committee meeting scheduled for Tuesday...

[10318] September 24, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 31-98 RE: NOTICE OF MEETING - OCTOBER 20TH ______________________________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for Tuesday, October 20, 1998 at...

1 See Memorandum to Investment Advisers Committee No. 23-98 and SEC Rules Committee No. 66-98, dated July 1, 1998. [10204] August 14, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 30-98 SEC RULES COMMITTEE No. 82-98 RE: INSTITUTE COMMENT LETTER ON NYSE SHAREHOLDER APPROVAL POLICY...

1 See Memorandum to Accounting/Treasurers Committee No. 27-98, Compliance Advisory Committee No. 18-98, Independent Accountants Advisory Committee No. 7-98, Internal Audit Committee No. 6-98, Investment Advisers Committee No. 24-98, Operations Committee No. 26-98, SEC Rules Committee...

[10179] August 5, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 28-98 RE: INSTITUTE SUBMITS PROPOSAL TO THE SEC RECOMMENDING REVISIONS TO PART II OF FORM ADV ______________________________________________________________________________ The Institute has submitted the attached letter to...