Investment Advisers Content

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...

March 9, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 10-92 CALIFORNIA ASSOCIATE INVESTMENT ADVISER MEMBERS RE: PROPOSED FINAL TEXT OF CALIFORNIA INVESTMENT ADVISER REGULATIONS; INSTITUTE COMMENTS __________________________________________________________ As we previously informed you...

February 24, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 9-92 MISSOURI INVESTMENT ADVISER ASSOCIATE MEMBERS RE: MISSOURI PROPOSES LEGISLATION TO AMEND INVESTMENT ADVISER PROVISIONS ________________________________________________________ Legislation was recently introduced in Missouri...

February 20, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 8-92 MARYLAND ASSOCIATE INVESTMENT ADVISER MEMBERS RE: INSTITUTE TESTIFIES ON MARYLAND LEGISLATION CONCERNING ESTABLISHMENT OF AN INVESTMENT ADVISER GUARANTY FUND __________________________________________________________ On...

February 10, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 7-92 MISSOURI INVESTMENT ADVISER ASSOCIATE MEMBERS RE: MISSOURI INTRODUCES FINANCIAL PLANNER LEGISLATION __________________________________________________________ Legislation has been introduced in Missouri to amend the Missouri...

February 4, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 6-92 RE: POSTPONEMENT OF CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION HEARING __________________________________________________________ As we previously informed you, the California Fair Political Practices Commission had...

January 31, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 5-92 COLORADO ASSOCIATE INVESTMENT ADVISER MEMBERS RE: FINANCIAL PLANNER LEGISLATION INTRODUCED IN COLORADO __________________________________________________________ Legislation has been introduced in Colorado concerning...

January 28, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 4-92 CALIFORNIA ASSOCIATE INVESTMENT ADVISER MEMBERS RE: INSTITUTE COMMENT LETTER ON PROPOSED CALIFORNIA INVESTMENT ADVISER REGULATIONS __________________________________________________________ As we previously informed you, the...

January 17, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 3-92 UTAH INVESTMENT ADVISER ASSOCIATE MEMBERS RE: UTAH REQUESTS COMMENTS ON DRAFT RULES REGARDING SCOPE OF INVESTMENT ADVISER REGULATION __________________________________________________________ As we previously informed you...

January 13, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 2-92 RE: MARYLAND LEGISLATION CONCERNING CHFC DESIGNATION __________________________________________________________ Attached is a copy of legislation recently introduced in the Maryland House of Delegates to clarify that a person...