Investment Advisers Content

1 See Memorandum to Accounting/Treasurers Committee No. 27-98, Compliance Advisory Committee No. 18-98, Internal Audit Committee No. 6-98, Investment Advisers Committee No. 24-98, Operations Committee No. 26-98, SEC Rules Committee No. 68-98, and Transfer Agent Advisory Committee No...

1 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents, SEC Release No. 34-40163; File No. S7-8-98 (July 2, 1998); and Reports To Be Made by Certain Brokers and Dealers, SEC Release No. 34-40162; File No. S7-7-98 (July 2, 1998) (the “Releases”). 2 See Memorandum to...

* See Memorandum to Investment Advisers Committee No. 21-98, dated May 28, 1998, for a copy of the draft submission. [10102] July 8, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 25-98 RE: INSTITUTE RECOMMENDS CHANGES TO ANTIFRAUD RULES UNDER THE ADVISERS ACT ____________________________...

1 Investment Adviser Year 2000 Reports, SEC Release No. IA-1728, IC-23293; File No. S7-20-98 (June 30, 1998) (the “Release”). The Release is a follow-up to two earlier companion releases in which the SEC proposed Year 2000 reporting requirements for certain transfer agents and broker...

* See Memorandum to Investment Advisers Committee No. 22-98 and SEC Rules Committee No. 58-98, dated June 16, 1998, and Memorandum to Investment Advisers Committee No. 14-98 and SEC Rules Committee No. 38-98, dated April 30, 1998. [10088] July 1, 1998 TO: INVESTMENT ADVISERS COMMITTEE...

1 See Memorandum to Investment Advisers Committee No. 14-98 and SEC Rules Committee No. 38-98, dated April 30, 1998. [10020] June 16, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 22-98 SEC RULES COMMITTEE No. 58-98 RE: NYSE REQUEST FOR COMMENT REGARDING SHAREHOLDER APPROVAL REQUIREMENTS...

[9975] May 28, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 20-98 RE: DRAFT AGENDA FOR JUNE 8 MEETING ______________________________________________________________________________ Attached is a draft agenda for the Investment Advisers Committee meeting scheduled for Monday, June 8...

* See Memorandum to Investment Advisers Committee No. 7-98, dated February 11, 1998. [9976] May 28, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 21-98 RE: DRAFT SUBMISSIONS TO THE SEC PROPOSING REVISIONS TO ANTI-FRAUD RULES AND FORM ADV __________________________________________________...

1 See Institute Memorandum to Pension Members, No. 22-98 and Investment Adviser Members, No. 8-98, dated March 24, 1998. [9956] May 21, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 19-98 PENSION COMMITTEE No. 29-98 CROSS-TRADES AD HOC WORKING GROUP RE: INSTITUTE FILES COMMENT LETTER...

[9904] May 6, 1998 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-98 INVESTMENT ADVISERS COMMITTEE No. 18-98 SEC RULES COMMITTEE No. 40-98 UNIT INVESTMENT TRUST COMMITTEE No. 17-98 RE: SEC SEMI-ANNUAL REGULATORY AGENDA ______________________________________________________________...