Investment Advisers Content

December 13, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 41-90 MAINE INVESTMENT ADVISER ASSOCIATE MEMBERS RE: EXAMINATION REQUIREMENTS FOR ADVISERS IN MAINE __________________________________________________________ As we previously informed you, the Maine Securities Division has...

1 * New item. November 20, 1990 TO: CLOSED-END FUND COMMITTEE NO. 26-90 INVESTMENT ADVISERS COMMITTEE NO. 40-90 SEC RULES COMMITTEE NO. 62-90 UNIT INVESTMENT TRUST COMMITTEE NO. 52-90 RE: SEC SEMIANNUAL REGULATORY AGENDA __________________________________________________________ The...

November 13, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 39-90 MAINE INVESTMENT ADVISER ASSOCIATE MEMBERS RE: PROPOSED EXAMINATION REQUIREMENTS IN MAINE __________________________________________________________ Enclosed is a rulemaking proposal from the Maine Securities Division. The...

November 8, 1990 TO: STATE LIAISON COMMITTEE NO. 27-90 UNIT INVESTMENT TRUST COMMITTEE NO. 49-90 INVESTMENT ADVISERS COMMITTEE NO. 38-90 RE: INSTITUTE COMMENTS ON PROPOSED NEW MEXICO RULES __________________________________________________________ As we previously informed you, the...

November 2, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 37-90 RE: INSTITUTE COMMENTS ON RHODE ISLAND ADVISER REGISTRATION REGULATIONS __________________________________________________________ As you recall, the Rhode Island Department of Business Regulation recently proposed rules...

October 26, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 36-90 RE: ERISA FIDUCIARY GUIDELINES FOR INVESTMENT ADVISERS __________________________________________________________ As you recall, the Institute is concerned with recent federal litigation against investment advisers to ERISA...

October 19, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 35-90 RHODE ISLAND INVESTMENT ADVISER ASSOCIATE MEMBERS RE: PROPOSED RHODE ISLAND ADVISER REGISTRATION REGULATIONS __________________________________________________________ Attached are the proposed rules regarding the...

October 15, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 34-90 RE: PROPOSED IDAHO ADVISER LEGISLATION __________________________________________________________ Attached is a copy of draft legislation concerning investment advisers which the Idaho Securities Commission intends to...

September 26, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 33-90 RE: DRAFT AGENDA FOR INVESTMENT ADVISERS COMMITTEE MEETING __________________________________________________________ Attached is the draft agenda for the Investment Advisers Committee meeting scheduled for Wednesday...

September 24, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 32-90 SEC RULES COMMITTEE NO. 52-90 CLOSED-END FUND COMMITTEE NO. 21-90 INTERNATIONAL FUNDS TASK FORCE NO. 22-90 RE: INSTITUTE FILES COMMENT LETTER SUPPORTING SEC'S PROPOSED CONCEPTUAL APPROACH REGARDING MULTINATIONAL TENDER AND...