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Federal reserve Bank of Dallas
DALLAS, TEXAS

75222

Circular No. 79-21
January 31, 1979

SECURITIES AND EXCHANGE COMMISSION
(Reporting Requirements for Institutional Investment Managers)

TO ALL BANK HOLDING COMPANIES
AND OTHERS CONCERNED IN THE
ELEVENTH FEDERAL RESERVE DISTRICT:
By Circular No. 78-177 dated December 21, 1978, you were notified
of the final rules of the Securities and Exchange Commission relating to
filing and reporting requirements for institutional investment managers pur­
suant to Section 13(f) of the Securities Exchange Act of 1934, as amended.
These rules apply to institutional investment managers, including banks and
bank holding companies, exercising investment discretion over accounts having
in the aggregate more than $100,000,000 in exchange-traded or NASDAQ-quoted
equity securities.
On January 15, 1979, the Commission announced an amendment to the
rules to require that institutional investment managers subject to the re­
porting requirements file a report on a quarterly basis rather than annually
as originally announced. The notice implementing the new amendment may be
found in the Federal Register published January 15, 1979 (44 Fed. Reg. 3033
(1979)). If this publication is not available to you, a copy of the notice
will be furnished upon request to the Secretary's Office of this Bank, Ext.
6267.
Any questions concerning the reporting requirements for institu­
tional investment managers should be directed to Mr. W. Scott Cooper, (202)
755-1792, Division of Investment Management, Securities and Exchange Com­
mission, 500 North Capital Street, Washington, D. C. 20549.
Sincerely you r s ,
Robert H. Boykin
First Vice President

Banks and others are encouraged to use the follow ing incoming W A T S numbers in contacting this Bank:
1 -8 0 0 -492 -44 03 (intrastate) and 1-8 0 0 -5 2 7 -4 9 7 0 (interstate). For calls placed locally, please use 651 plus
the extension referred to above.

This publication was digitized and made available by the Federal Reserve Bank of Dallas' Historical Library (FedHistory@dal.frb.org)