Investment Advisers Content

June 20, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 20-90 RE: INVESTMENT ADVISORS DISCLOSURE AND ENFORCEMENT ACT OF 1990 __________________________________________________________ As we previously informed you, Representative Rick Boucher introduced the "Investment Advisors Disclosure...

June 20, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 21-90 RE: SEC ISSUES CONCEPT RELEASE ON REFORM OF THE REGULATION OF INVESTMENT COMPANIES __________________________________________________________ Attached for your information is a concept release issued by the SEC on June 15, 1990...

June 18, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 19-90 SEC RULES COMMITTEE NO. 34-90 CLOSED-END FUND COMMITTEE NO. 14-90 INTERNATIONAL FUNDS TASK FORCE NO. 14-90 RE: SEC ISSUES CONCEPT RELEASE ON MULTINATIONAL TENDER AND EXCHANGE OFFERS _____________________________________________...

- 1 - June 5, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 18-90 RE: INVESTMENT ADVISER GUIDELINES FOR FIDUCIARIES MEETING __________________________________________________________ As you recall, the United States Court of Appeals for the Eleventh Circuit recently found a retirement...

May 23, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 16-90 RE: NASAA COMMITTEE TO REVIEW COMMENTS ON SERIES 65 EXAM __________________________________________________________ I have been advised by Michael Chizmar, Chair of the NASAA Uniform Examinations Committee, that next month his...

May 23, 1990 TO: SEC RULES COMMITTEE NO. 30-90 INVESTMENT ADVISERS COMMITTEE NO. 17-90 RE: GINNIE MAE TO PROHIBIT "LIVE FREE" MORTGAGES __________________________________________________________ According to the attached Wall Street Journal article, the Government National Mortgage...

May 18, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 15-90 RE: CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION TO HOLD MEETING ON ADVISER DISCLOSURE REQUIREMENTS __________________________________________________________ The California Fair Political Practices Commission (the "Commission...

May 15, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 14-90 RE: OKLAHOMA INTRODUCES FINANCIAL PLANNERS ACT __________________________________________________________ Attached is a copy of a bill introduced in Oklahoma to regulate financial planners. The bill would require financial...

- 1 - May 7, 1990 TO: CLOSED-END FUND COMMITTEE NO. 13-90 INVESTMENT ADVISERS COMMITTEE NO. 13-90 SEC RULES COMMITTEE NO. 29-90 UNIT INVESTMENT TRUST COMMITTEE NO. 24-90 RULE 12B-1 AD HOC COMMITTEE RE: SEC SEMIANNUAL REGULATORY AGENDA; AMENDMENTS TO RULE 12B-1 WITHDRAWN AS SEPARATE...

April 2, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 12-90 RE: PROPOSED INVESTMENT ADVISORS DISCLOSURE AND ENFORCEMENT ACT OF 1940 __________________________________________________________ Attached is a copy of proposed legislation introduced on March 30 by Representative Boucher...