Investment Advisers Content

November 7, 1991 TO: CLOSED-END FUND COMMITTEE NO. 29-91 INVESTMENT ADVISERS COMMITTEE NO. 54-91 SEC RULES COMMITTEE NO. 63-91 UNIT INVESTMENT TRUST COMMITTEE NO. 36-91 RE: SEC SEMIANNUAL REGULATORY AGENDA __________________________________________________________ The Securities and...

October 24, 1991 TO: CLOSED-END FUND COMMITTEE NO. 28-91 INVESTMENT ADVISERS COMMITTEE NO. 53-91 RE: LEGISLATION INTRODUCED TO REQUIRE REPORTING OF SHORT POSITIONS BY CERTAIN HOLDERS __________________________________________________________ The "Market Information and Shareholder...

October 11, 1991 TO: SEC RULES COMMITTEE NO. 62-91 INVESTMENT ADVISERS COMMITTEE NO. 52-91 RE: MEETING TO DISCUSS SEC LARGE TRADER REPORTING PROPOSAL __________________________________________________________ The Institute has scheduled a meeting for October 31, 1991 to discuss the...

October 11, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 51-91 RE: INSTITUTE COMMENT LETTER ON PROPOSED AMENDMENTS TO FORM BD WHICH ARE ANTICIPATED FOR FORM ADV __________________________________________________________ As we previously informed you, the SEC anticipates proposing...

September 27, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 50-91 UTAH INVESTMENT ADVISER ASSOCIATE MEMBERS RE: UTAH REQUESTS COMMENTS REGARDING SCOPE OF INVESTMENT ADVISER REGULATION __________________________________________________________ The Utah Securities Division recently...

September 24, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 48-91 RE: INSTITUTE COMMENTS ON PROPOSED BRANCH OFFICE RULE __________________________________________________________ Attached is a copy of the Institute's testimony regarding the Wisconsin Securities Commissioner's proposed...

September 24, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 47-91 RE: DRAFT AGENDA FOR OCTOBER 8 MEETING __________________________________________________________ Attached is a draft agenda for the Investment Advisers Committee meeting scheduled for October 8, 1991. The meeting will be...

September 24, 1991 TO: SEC RULES COMMITTEE NO. 60-91 INVESTMENT ISSUES COMMITTEE NO. 16-91 INVESTMENT ADVISERS COMMITTEE NO. 49-91 CLOSED-END FUND COMMITTEE NO. 24-91 RE: INSTITUTE COMMENT LETTER ON PROXY REFORM __________________________________________________________ Attached is a...

September 20, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 46-91 RE: INSTITUTE COMMENTS ON INDIANA AND OREGON RULE PROPOSALS __________________________________________________________ The Institute commented on recent rule proposals announced by the Indiana and Oregon securities...

September 18, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 45-91 RE: LABOR HEARING ON PROPOSED FOREIGN EXCHANGE EXEMPTION __________________________________________________________ As you recall, a proposed ERISA prohibited transaction class exemption relating to certain employee...