Investment Advisers Content

1 See Memorandum to Investment Advisers Committee No. 11-93 and SEC Rules Committee No. 46-93 (May 11, 1993). 2 See Memorandum to Investment Advisers Committee No. 21-93 and SEC Rules Committee No. 67-93 (July 22, 1993). [9666] February 11, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 6...

[9671] February 11, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 7-98 RE: RECOMMENDATIONS FOR REVISIONS TO THE ADVISERS ACT ANTI-FRAUD RULES AND FORM ADV ______________________________________________________________________________ The Institute is in the process of developing...

[9653] February 9, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 5-98 RE: DRAFT AGENDA FOR FEBRUARY 17 MEETING ______________________________________________________________________________ Attached is a draft agenda for the Investment Advisers Committee meeting scheduled for Tuesday...

1 See Memorandum to Investment Adviser Associate Members No. 44-97, Investment Adviser Members No. 48- 97, and Investment Advisers Committee No. 33-97, dated November 19, 1997. [9611] January 21, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 4-98 RE: INSTITUTE COMMENTS ON SEC'S PROPOSED...

* See Memorandum to Investment Advisers Committee No. 33-97, dated November 19, 1997 and Memorandum to Closed-End Investment Company Committee No. 48-97, SEC Rules Committee No. 114-97, dated November 21, 1997. [9604] January 16, 1998 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3...

[9576] January 7, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 1-98 RE: NOTICE OF MEETING - FEBRUARY 17TH ______________________________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for Tuesday, February 17, 1998 at...

* See Memorandum to Investment Advisers Committee No. 33-97, dated November 19, 1997 and Memorandum to Closed- End Investment Company Committee No. 48-97, SEC Rules Committee No. 114-97, dated November 21, 1997. [9579] January 7, 1998 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1...

1 See Memorandum to Investment Advisers Committee No. 33-97, dated November 19, 1997. [9541] December 23, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 34-97 RE: DRAFT COMMENT LETTER ON THE SEC’S PROPOSED INVESTMENT ADVISER ACT RULE AMENDMENTS ____________________________________________...

1 Investment Advisers Act Release No. 1681 (Nov. 13, 1997) (proposing the multi-state adviser exemption and revisions to the definition of the term "investment adviser representative"); Investment Advisers Act Release No. 1682 (Nov. 13, 1997) (proposing amendments to Rule 205-3 under...

[9404] November 11, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 43-97 INVESTMENT ADVISERS COMMITTEE No. 32-97 SEC RULES COMMITTEE No. 107-97 UNIT INVESTMENT TRUST COMMITTEE No. 65-97 RE: SEC SEMI-ANNUAL REGULATORY AGENDA _______________________________________________________...