Investment Advisers Content

[9389] November 4, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 31-97 RE: INSTITUTE LETTER TO DOL AND SEC ON CROSS-TRADES ______________________________________________________________________________ The Institute has sent a letter to Olena Berg, Assistant Secretary for Pension &...

[9322] October 13, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 30-97 RE: DRAFT AGENDA FOR OCTOBER 21 MEETING ______________________________________________________________________________ Attached is a draft agenda for the Investment Advisers Committee meeting scheduled for Tuesday...

[9319] October 8, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 29-97 SEC RULES COMMITTEE No. 99-97 SOFT DOLLARS TASK FORCE RE: DRAFT ICI PAPER ON BROKERAGE ALLOCATION PRACTICES ______________________________________________________________________________ As we discussed at recent...

[9208] September 5, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 28-97 RE: NOTICE OF MEETING - OCTOBER 21 ______________________________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for Tuesday, October 21, 1997 at the...

* See Memorandum to Investment Advisers Committee No. 24-97, dated July 10, 1997. [9164] August 13, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 27-97 RE: INSTITUTE RECOMMENDATION REGARDING CERTAIN INVESTMENT ADVISER REPRESENTATIVES’ ACCEPTANCE OF ACCOMMODATION CLIENTS _________________...

* See Memorandum to Accounting/Treasurers Committee No. 18-97, Investment Advisers Committee No. 22-97 and SEC Rules Committee No. 66-97, dated July 8, 1997. [9131] August 6, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 23-97 INVESTMENT ADVISERS COMMITTEE No. 26-97 SEC RULES COMMITTEE...

[9118] August 4, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 25-97 STATE LIAISON COMMITTEE No. 21-97 UNIT INVESTMENT TRUST COMMITTEE No. 48-97 RE: MISSISSIPPI ADOPTS EMERGENCY RULES ______________________________________________________________________________ Effective July 1, 1997...

* We have not included the issue regarding the Commission*s interpretation in the Piper Capital enforcement action of the phrase "completion of the transaction" in connection with principal transactions under Section 206(3) of the Advisers Act because we have been advised by SEC staff...

July 9, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 23-97 SEC RULES COMMITTEE No. 67-97 STATE LIAISON COMMITTEE No. 20-97 RE: NORTH DAKOTA PUBLISHES BUSINESS CONDUCT RULES FOR COMMENT ______________________________________________________________________________ The North Dakota...

* SEC Release No. IC-22731 (July 1, 1997). July 8, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-97 INVESTMENT ADVISERS COMMITTEE No. 22-97 SEC RULES COMMITTEE No. 66-97 RE: SEC PROPOSES MANDATORY ELECTRONIC FILING OF FORM 13F ________________________________________________________...