Date: May 12, 1998 Comment Letter on NASDR Proposed Rule Amendments Regarding Review of Customer Correspondence, May 1998
Date: April 28, 1998 Letter to NASAA Re Proposed Examination for Investment Adviser Representatives, April 1998
Date: April 27, 1998 Institute Comments on Agenda for Upcoming Conference on Uniformity of Federal-State Securities Regulation, April 1998
Date: April 13, 1998 Comment Letter on SEC Year 2000 Temporary Rule Proposals for Transfer Agents and Broker-Dealers, April 1998
Date: March 2, 1998 Comment Letter on SEC Proposal to Define Statistical Rating Organizations, March 1998
Date: February 2, 1998 Comment Letter on SEC Proposed New Rule Regarding Delivery of Disclosure Documents to Households, February 1998
Date: January 16, 1998 Comment Letter on SEC's Proposed Amendments to Investment Advisers Act, January 1998