Investment Advisers Content

* See Memorandum to Investment Advisers Committee No. 9-97, dated February 11, 1997, for a copy of the Institute*s initial comment letter. March 5, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 11-97 RE: INSTITUTE SUPPLEMENTAL LETTER ON PROPOSED INVESTMENT ADVISER RULES _________________...

February 13, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 10-97 STATE LIAISON COMMITTEE No. 3-97 RE: MASSACHUSETTS PROPOSES AMENDMENTS TO RULES RELATING TO BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS AND ISSUES ____________________________________________________________________________...

* See Memorandum to Investment Advisers Committee No. 3-97, dated January 28, 1997. February 11, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 9-97 RE: INSTITUTE LETTER ON PROPOSED INVESTMENT ADVISER RULES ______________________________________________________________________________ The...

February 3, 1997 TO: DIRECT MARKETING COMMITTEE No. 4-97 INVESTMENT ADVISERS COMMITTEE No. 7-97 OPERATIONS COMMITTEE No. 2-97 PENSION COMMITTEE No. 4-97 PENSION OPERATIONS ADVISORY COMMITTEE No. 3-97 SALES FORCE MARKETING COMMITTEE No. 4-97 RE: REMINDER - RETIREMENT PLANS CONFERENCE -...

February 3, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 8-97 RE: DRAFT AGENDA FOR FEBRUARY 12 MEETING ______________________________________________________________________________ Attached is a draft agenda for the Investment Advisers Committee meeting scheduled for Wednesday...

January 31, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 6-97 RE: CALIFORNIA PROPOSES CHANGES TO EXAMINATION REQUIREMENTS ______________________________________________________________________________ The California Department of Corporations has published for comment amendments to its...

January 29, 1997 TO: INSTITUTIONAL FUNDS ADVISORY COMMITTEE No. 2-97 INVESTMENT ADVISERS COMMITTEE No. 4-97 RE: IMPACT OF FEDERAL LEGISLATION ON EXISTING ADVISORY CONTRACTS ______________________________________________________________________________ Effective April 9, 1997, the...

January 29, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-97 INVESTMENT ADVISERS COMMITTEE No. 5-97 SEC RULES COMMITTEE No. 11-97 SMALL FUNDS COMMITTEE No. 2-97 UNIT INVESTMENT TRUST COMMITTEE No. 4-97 RE: SEC PROPOSES NEW DEFINITIONS OF ""SMALL BUSINESS"" IN CONNECTION WITH...

* See Memorandum to Investment Advisers Committee No. 30-96, dated December 23, 1996. January 28, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 3-97 RE: INSTITUTE DRAFT COMMENT LETTER ON PROPOSED SEC RULES RELATING TO INVESTMENT ADVISERS __________________________________________________...

January 8, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 2-97 SEC RULES COMMITTEE No. 3-97 SMALL FUNDS COMMITTEE No. 1-97 RE: SEC REVIEW OF CERTAIN RULES UNDER THE INVESTMENT COMPANY ACT AND THE INVESTMENT ADVISERS ACT _____________________________________________________________________...