Investment Advisers Content

February 1, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 4-91 MARYLAND INVESTMENT ADVISER MEMBERS MARYLAND INVESTMENT ADVISER ASSOCIATE MEMBERS RE: INSTITUTE COMMENTS ON MARYLAND REPROPOSAL __________________________________________________________ As we previously informed you, the...

January 24, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 3-91 NEW MEXICO INVESTMENT ADVISER ASSOCIATE MEMBERS NEW MEXICO INVESTMENT ADVISER MEMBERS RE: NEW MEXICO REPROPOSES REGULATIONS __________________________________________________________ As we discussed at the Investment Adviser...

- 1 - January 16, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 2-91 MARYLAND INVESTMENT ADVISER ASSOCIATE MEMBERS MARYLAND INVESTMENT ADVISER MEMBERS RE: MARYLAND REPROPOSES REGULATIONS WITH FEE WAIVER __________________________________________________________ As we previously informed...

January 2, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 1-91 RE: PRELIMINARY AGENDA FOR THE INVESTMENT ADVISERS COMMITTEE MEETING -- JANUARY 23, 1991 __________________________________________________________ Attached is a copy of the agenda for the Investment Advisers Committee meeting...

- 1 - December 26, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 47-90 RE: IDAHO RESPONDS TO INSTITUTE LEGISLATIVE RECOMMENDATIONS __________________________________________________________ As we previously informed you, the Idaho Securities Commission has been circulating proposed...

December 24, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 46-90 RE: DEFINITION OF "FINANCIAL PLANNER" __________________________________________________________ The Industry Advisory Committee to the NASAA Financial Planners/Investment Adviser Committee has been asked to develop a...

December 21, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 45-90 RE: INSTITUTE REQUESTS SERIES 24 WAIVER IN NEBRASKA FOR CFAs __________________________________________________________ Attached is a copy of the Institute's letter to the Nebraska Bureau of Securities requesting exemption...

December 20, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 43-90 RE: NOTICE OF MEETING, JANUARY 23, 1991 __________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for Wednesday, January 23, 1991 at 10:00 a.m. at the...

- 1 - December 20, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 44-90 RE: RHODE ISLAND RE-PROPOSES ADVISER RULES; ALABAMA RESPONDS TO INSTITUTE REQUEST; CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION PROVIDES INTERIM ADVICE __________________________________________________________ I...

December 17, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 42-90 RE: INSTITUTE REQUESTS RELIEF IN ALABAMA __________________________________________________________ As we previously informed you, investment advisers and investment adviser representatives must be registered in Alabama by...