October 15, 1992
TO: INVESTMENT ADVISERS COMMITTEE NO. 37-92
STATE LIAISON COMMITTEE NO. 42-92
UNIT INVESTMENT TRUST COMMITTEE NO. 60-92
RE: NASAA COMMITTEE CHAIR ASSIGNMENTS FOR 1993
__________________________________________________________
The Institute has been advised that the following
individuals will serve as Committee Chairpersons for the North
American Securities Administrators Association, Inc. during 1993:
Broker-Dealer Section
Broker-Dealer Regulation - Richard Hubbard (DE)
CRD - Mark Holderman (OH)
Investment Companies Sales Practices - Miriam Dant (IN)
Small Business Sales Practices - Deborah Bortner (WA)
Financial Planners/Investment Advisers - Verley Spivey (GA)
Forms Revision - Constance White (UT)
Uniform Examinations - Vacant
Corporation Finance
Direct Participation Programs - Jerry Baker (CA)
International Corporation Finance - Irving Faught (OK)
Investment Companies - Diane Young-Spitzer (MA)
Merit Standards - Jack Herstein (NE)
Registration Exemptions - Robert Lamm (PA)
Small Business Capital Formation - Neal Sullivan (MA)
Enforcement Section
Enforcement Policy - Bill McDonald (CA)
International Enforcement - Larry Carroll (AK)
Zone - Robert Hooks (GA)
Regulatory Liaison
Federal Legislation - Susan Shands (MS)
Investor Education - Joe Madden (AR)
Franchise & Business Opportunities - Joe Bjerke (SD)
In addition, the following NASAA Committees have been
abolished: CRD User Panel, International Corporation Finance,
Commodities, Investor Alert, Regulated Industries, and Tender
Offer Regulation.
Ellyn Brown, former Commissioner of the Maryland Securities
Division, is currently serving as Acting Executive Director for
the NASAA Corporate Office until the end of the year. It is
anticipated that a permanent Executive Director will be named in
the near future.
We will keep you advised of developments.
Patricia Louie
Associate Counsel