March 9, 1992
TO: INVESTMENT ADVISERS COMMITTEE NO. 11-92
ARIZONA ASSOCIATE INVESTMENT ADVISER MEMBERS
RE: INVESTMENT ADVISER/FINANCIAL PLANNER LEGISLATION INTRODUCED
IN ARIZONA
__________________________________________________________
Legislation has been introduced in Arizona to require
investment advisers and investment adviser representatives who
solicit investment advisory clients or render investment advice
for compensation, or who use the designation of "financial
planner" or otherwise hold themselves out as providing financial
planning or investment advisory services to register with the
Securities Director.
We will keep you informed of developments.
Amy B.R. Lancellotta
Associate General Counsel
Attachment