Investment Advisers Content

March 28, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 10-90 RE: MISSISSIPPI ADOPTS LAW REQUIRING REGISTRATION OF INVESTMENT ADVISER REPRESENTATIVES AND PROPOSES PROCEDURE FOR REGISTRATION __________________________________________________________ Legislation recently passed by the...

March 28, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 11-90 RE: NASAA AMENDED PROPOSED REVISIONS TO MODEL INVESTMENT ADVISER RULES ________________________________________________________ As we previously informed you, the Financial Planner/Investment Adviser Committee of the North...

March 19, 1990 TO: SEC RULES COMMITTEE NO. 17-90 STATE LIAISON COMMITTEE NO. 3-90 UNIT INVESTMENT TRUST COMMITTEE NO. 11-90 INVESTMENT ADVISERS COMMITTEE NO. 9-90 RE: COMMENTS REQUESTED FOR 1990 CONFERENCE ON FEDERAL- STATE SECURITIES REGULATION AGENDA ________________________________...

March 14, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 8-90 RE: CALIFORNIA LEGISLATIVE PROPOSAL CONCERNING BEST EXECUTION IN CALIFORNIA PUBLIC FUNDS __________________________________________________________ As we have previously informed you, a legislative proposal has been introduced...

- 1 - March 13, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 7-90 RE: CALIFORNIA COMMISSION CLARIFIES DEFINITION OF "OTHER PUBLIC OFFICIALS" TO EXCLUDE INVESTMENT ADVISERS FROM CONFLICT OF INTEREST DISCLOSURE REQUIREMENTS __________________________________________________________ As we...

March 6, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 6-90 RE: NOTICE OF MEETING, TUESDAY, APRIL 3, 1990 ________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for Tuesday, April 3, 1990 at 10:00 a.m. The meeting will...

- 1 - February 26, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 5-90 RE: PROPOSED LEGISLATION CONCERNING SOFT DOLLAR AND TRANSACTION COSTS DISCUSSED BY CALIFORNIA SENATE COMMISSION __________________________________________________________ On January 26, 1990, the Senate Commission on...

February 21, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 4-90 RE: INVESTMENT ADVISERS TO CALIFORNIA PUBLIC FUNDS REQUIRED TO DISCLOSE PERSONAL ASSETS __________________________________________________________ On January 1, 1990, a California Fair Political Practices Commission's...

January 27, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 3-90 RE: MARYLAND PROPOSES INVESTMENT ADVISER REGULATIONS __________________________________________________________ As we have previously informed you, the Maryland Division of Securities proposed emergency investment adviser...

January 24, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 2-90 RE: PROPOSED AMENDMENTS TO MASSACHUSETTS BROKER-DEALER RULES __________________________________________________________ The Massachusetts Securities Division has recently proposed for public comment several amendments to its...