Investment Advisers Content

November 1, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 43-89 BAILEY/WILSON SUBCOMMITTEE RE: INSTITUTE TO HOLD MEETING CONCERNING WRAP FEE ARRANGEMENTS AND ERISA BONDING __________________________________________________________ As we have previously informed you, Kathryn McGrath...

- 1 - October 16, 1989 TO: SEC RULES COMMITTEE NO. 64-89 CLOSED-END FUND COMMITTEE NO. 45-89 UNIT INVESTMENT TRUST COMMITTEE NO. 71-89 INVESTMENT ADVISERS COMMITTEE NO. 42-89 RE: DRAFT INSTITUTE COMMENT LETTER ON AMENDMENTS TO RULES UNDER SECTION 16 ___________________________________...

September 28, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 41-89 RE: INVESTMENT ADVISERS COMMITTEE AGENDA __________________________________________________________ Attached is the proposed agenda for the Investment Advisers Committee meeting which will be held on Tuesday, October 10...

September 26, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 40-89 RE: DRAFT LEGISLATION CONCERNING PRIVATE RIGHTS OF ACTION AND ADDITIONAL ADVISER DISCLOSURES TO CLIENTS __________________________________________________________ Representative Rich Boucher (D-Virginia) has prepared draft...

September 18, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 39-89 RE: NEVADA PROPOSES INVESTMENT ADVISER RULE CHANGES __________________________________________________________ The Securities Division of the office of the Nevada Secretary of State is proposing certain changes in the...

September 14, 1989 TO: SEC RULES MEMBERS NO. 50-89 INTERNATIONAL FUNDS TASK FORCE NO. 13-89 UNIT INVESTMENT TRUST COMMITTEE NO. 62-89 INVESTMENT ADVISERS COMMITTEE NO. 38-89 RE: INSTITUTE COMMENTS ON REPROPOSED RULE 144A __________________________________________________________ The...

September 1, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 37-89 RE: NASAA PROPOSED REVISIONS TO THE MODEL INVESTMENT ADVISER RULES __________________________________________________________ On Sunday, September 10, 1989, the North American Securities Administrators Association, Inc.'s...

August 30, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 36-89 RE: NOTICE OF MEETING, OCTOBER 10, 1989 __________________________________________________________ A meeting of your committee has been scheduled for Tuesday, October 10, 1989 at 1:30 p.m. following a joint luncheon with the...

- 1 - August 23, 1989 TO: SEC RULES COMMITTEE NO. 51-89 CLOSED-END FUND COMMITTEE NO. 35-89 UNIT INVESTMENT TRUST COMMITTEE NO. 53-89 INVESTMENT ADVISERS COMMITTEE NO. 35-89 RE: SEC REPROPOSES AMENDMENTS TO RULES UNDER SECTION 16 _______________________________________________________...

August 9, 1989 TO: SEC RULES COMMITTEE NO. 49-89 INVESTMENT ADVISERS COMMITTEE NO. 34-89 RE: CUSTODIAN PERFORMANCE IN FORWARDING PROXY MATERIALS __________________________________________________________ At a recent meeting with the staff of the Division of Investment Management...