Investment Advisers Content

- 1 - September 13, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 31-90 NEW MEXICO INVESTMENT ADVISER ASSOCIATE MEMBERS RE: NEW MEXICO PROPOSES NEW REGISTRATION RULES FOR ADVISERS __________________________________________________________ The New Mexico Securities Division released...

- 1 - September 7, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 30-90 RE: INSTITUTE STATEMENT AT NASAA FALL CONFERENCE __________________________________________________________ Attached is a copy of the Institute's testimony presented to the Financial Planner/Investment Advisers...

September 6, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 29-90 RE: INSTITUTE COMMENTS ON CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION HEARING ON ADVISER DISCLOSURE REQUIREMENTS __________________________________________________________ As we previously informed you, the California...

August 31, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 28-90 RE: NOTICE OF MEETING, OCTOBER 10, 1990 __________________________________________________________ The Investment Advisers Committee meeting has been scheduled for Wednesday, October 10, 1990 at 2:00 p.m. at the Vista...

August 23, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 27-90 RE: CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION TO HOLD HEARING ON ADVISER DISCLOSURE REQUIREMENTS __________________________________________________________ As we previously informed you, the California Fair Political...

August 13, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 26-90 RE: MARYLAND INVESTMENT ADVISER REGISTRATION REGULATIONS __________________________________________________________ As we previously informed you, the Maryland Securities Division recently released proposed regulations...

August 10, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 25-90 RE: NASAA QUESTIONNAIRE ON DISCLOSURE __________________________________________________________ Attached is a questionnaire prepared by the NASAA Financial Planner/Investment Adviser Committee which we received today. The...

July 30, 1990 TO: SEC RULES COMMITTEE NO. 39-90 INVESTMENT ADVISERS COMMITTEE NO. 24-90 RE: INSTITUTE COMMENT LETTER ON NEW JERSEY CASINO CONTROL ACT __________________________________________________________ As we previously informed you, the New Jersey Casino Control Commission...

- 1 - July 24, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 23-90 MARYLAND INVESTMENT ADVISER MEMBERS MARYLAND ADVISER ASSOCIATE MEMBERS RE: PROPOSED MARYLAND INVESTMENT ADVISER REGULATIONS ________________________________________________________ The Maryland Securities Division...

June 29, 1990 TO: SEC RULES COMMITTEE NO. 36-90 INVESTMENT ADVISERS COMMITTEE NO. 22-90 RE: NEW JERSEY CASINO COMMISSION TO RECONSIDER FIVE PERCENT LIMITATION ON INSTITUTIONAL INVESTORS __________________________________________________________ Last year the New Jersey Casino...