Investment Advisers Content

- 1 - April 5, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 13-91 FLORIDA INVESTMENT ADVISER MEMBERS FLORIDA INVESTMENT ADVISER ASSOCIATE MEMBERS RE: FLORIDA PROPOSES REVISING DEFINITION OF "BRANCH OFFICE" __________________________________________________________ The Florida Securities...

April 5, 1991 TO: STATE LIAISON COMMITTEE NO. 11-91 UNIT INVESTMENT TRUST COMMITTEE NO. 13-91 INVESTMENT ADVISERS COMMITTEE NO. 14-91 CONTRACTUAL PLANS COMMITTEE NO. 5-91 RE: NASAA UPDATE __________________________________________________________ During the past several months...

April 2, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 12-91 RE: DRAFT AGENDA FOR APRIL 16 MEETING __________________________________________________________ Attached is a draft agenda for the Investment Advisers Committee Meeting scheduled for April 16, 1991. The meeting will be held at...

April 2, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 11-91 RE: RHODE ISLAND EXPANDS EXAMINATION ALTERNATIVES __________________________________________________________ As we previously informed you, applicants for licensing as investment adviser representatives in Rhode Island may...

March 18, 1991 TO: SEC RULES COMMITTEE NO. 17-91 STATE LIAISON COMMITTEE NO. 8-91 UNIT INVESTMENT TRUST COMMITTEE NO. 10-91 INVESTMENT ADVISERS COMMITTEE NO. 10-91 RE: COMMENTS REQUESTED FOR 1991 CONFERENCE ON UNIFORMITY OF FEDERAL-STATE SECURITIES REGULATION AGENDA __________________...

March 11, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 8-91 RE: NOTICE OF MEETING, APRIL 16, 1991 __________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for 1:30 p.m. on Tuesday, April 16, 1991 at the Madison Hotel...

March 11, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 9-91 OKLAHOMA INVESTMENT ADVISER MEMBERS OKLAHOMA INVESTMENT ADVISER ASSOCIATE MEMBERS RE: OKLAHOMA PROPOSES REVISED INVESTMENT ADVISER REGULATION __________________________________________________________ Attached are proposed...

March 5, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 7-91 RE: VIRGINIA MULTIPLE REGISTRATION ISSUE RESOLVED; INSTITUTE COMMENTS ON NEW MEXICO RE-PROPOSED REGULATIONS __________________________________________________________ As we discussed at the Investment Advisers Committee meeting...

February 15, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 6-91 RE: INSTITUTE RECOMMENDS ADVISER EXAMINATION RELIEF __________________________________________________________ On February 14, 1991, the Institute requested all state securities administrators to review their investment...

February 5, 1991 TO: SEC RULES COMMITTEE NO. 10-91 INVESTMENT ADVISERS COMMITTEE NO. 5-91 RE: LEGISLATION INTRODUCED TO AMEND NEW JERSEY CASINO CONTROL ACT __________________________________________________________ As we previously informed you, in 1989 the New Jersey Casino...