Investment Advisers Content

September 12, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 44-91 RE: SEC PROPOSAL TO ESTABLISH AN ACTIVITY-BASED LARGE TRADER REPORTING SYSTEM __________________________________________________________ The SEC has published for comment proposed Rule 13h-1 under the Securities Exchange...

September 11, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 41-91 COLORADO INVESTMENT ADVISERS COLORADO INVESTMENT ADVISER ASSOCIATE MEMBERS RE: INSTITUTE COMMENTS ON PROPOSED COLORADO ADVISER STATUTE __________________________________________________________ As we previously informed...

September 11, 1991 TO: INTERNATIONAL COMMITTEE NO. 22-91 INVESTMENT ADVISERS COMMITTEE NO. 42-91 SEC RULES COMMITTEE NO. 54-91 CLOSED-END FUND COMMITTEE NO. 23-91 INVESTMENT ISSUES COMMITTEE NO. 13-91 RE: INSTITUTE SUBMITS COMMENT LETTER REGARDING FOREIGN TENDER, EXCHANGE AND RIGHTS...

September 11, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 43-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 40-91 RE: PROPOSED AMENDMENTS TO FORM BD WHICH ARE ANTICIPATED FOR FORM ADV __________________________________________________________ The SEC has proposed amendments to Form BD...

September 5, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 40-91 OREGON INVESTMENT ADVISER MEMBERS OREGON INVESTMENT ADVISER ASSOCIATE MEMBERS RE: OREGON PROPOSES REVISED ADVISER REGISTRATION RULES __________________________________________________________ The Oregon Division of Finance...

August 26, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 39-91 RE: NOTICE OF MEETING, OCTOBER 8, 1991 __________________________________________________________ The Investment Advisers Committee meeting has been scheduled for Tuesday, October 8, 1991 at 1:30 p.m. at the Madison Hotel...

August 19, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 38-91 RE: BREEDEN TESTIFIES ON SEC REAUTHORIZATION __________________________________________________________ In recent testimony before the Senate Banking Securities Subcommittee on the SEC reauthorization request for FYs 1992-94...

August 15, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 37-91 PENNSYLVANIA INVESTMENT ADVISER MEMBERS PENNSYLVANIA INVESTMENT ADVISER ASSOCIATE MEMBERS RE: PENNSYLVANIA PROPOSED ADVISER RULES __________________________________________________________ Attached is a copy of proposed rules...

August 9, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 36-91 RE: WISCONSIN PROPOSES BRANCH OFFICE RULE __________________________________________________________ Attached is a copy of proposed revisions to the Administrative Rules of the Wisconsin Commissioner of Securities. Section 2...

August 9, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 35-91 RE: INSTITUTE COMMENTS ON PROPOSED IDAHO ADVISER RULES __________________________________________________________ Attached is a copy of the Institute's comments to the Idaho Department of Finance regarding their proposed rules...