Investment Advisers Content

June 10, 1991 TO: SEC RULES COMMITTEE NO. 32-91 CLOSED-END FUND COMMITTEE NO. 12-91 INTERNATIONAL COMMITTEE NO. 8-91 INVESTMENT ADVISERS COMMITTEE NO. 24-91 INVESTMENT ISSUES COMMITTEE NO. 3-91 RE: SEC SEEKS COMMENTS ON AMERICAN DEPOSITARY RECEIPT MARKETS _____________________________...

May 29, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 23-91 RE: INSTITUTE COMMENTS ON TEXAS INSTITUTIONAL EXEMPTION PROPOSAL __________________________________________________________ As we previously informed you, the Texas Securities Board has proposed an exemption from investment...

May 28, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 22-91 RE: REP. BOUCHER REINTRODUCES FINANCIAL PLANNER LEGISLATION __________________________________________________________ On May 21, 1991, Representative Boucher (D-VA) reintroduced legislation aimed at regulating financial...

May 20, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 21-91 RE: TEXAS PROPOSES EXEMPTION FOR ADVISERS TO PENSION PLANS __________________________________________________________ Attached is a recent proposal by the Texas State Securities Board to expand the institutional exemption to...

1 * New item. May 1, 1991 TO: CLOSED-END FUND COMMITTEE NO. 8-91 INVESTMENT ADVISERS COMMITTEE NO. 20-91 SEC RULES COMMITTEE NO. 25-91 UNIT INVESTMENT TRUST COMMITTEE NO. 20-91 RE: SEC SEMIANNUAL REGULATORY AGENDA __________________________________________________________ The...

April 30, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 19-91 FLORIDA INVESTMENT ADVISER MEMBERS FLORIDA INVESTMENT ADVISER ASSOCIATE MEMBERS RE: INSTITUTE URGES FLORIDA TO REVISE BRANCH OFFICE PROPOSAL __________________________________________________________ As we previously informed...

April 24, 1991 TO: SEC RULES COMMITTEE NO. 23-91 CLOSED-END FUND COMMITTEE NO. 7-91 UNIT INVESTMENT TRUST COMMITTEE NO. 18-91 INVESTMENT ADVISERS COMMITTEE NO. 18-91 RE: ISSUES CONCERNING NEW RULES UNDER SECTION 16 OF 1934 ACT; INSTITUTE REQUEST FOR INTERPRETIVE GUIDANCE UNDER RULE...

April 18, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 17-91 RE: INSTITUTE SUPPORTS CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION PROPOSALS __________________________________________________________ As we previously informed you, the California Fair Political Practices Commission staff...

April 18, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 16-91 OKLAHOMA INVESTMENT ADVISER AND ASSOCIATE MEMBERS RE: INSTITUTE COMMENTS ON OKLAHOMA PROPOSAL __________________________________________________________ Attached is the Institute's comments regarding the investment adviser...

April 9, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 15-91 RE: CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION REVISES PROPOSED DISCLOSURE REQUIREMENTS __________________________________________________________ As we previously informed you, the California Fair Political Practices...