Investment Advisers Content

August 7, 1989 TO: STATE SECURITIES MEMBERS NO. 30-89 INVESTMENT ADVISERS COMMITTEE NO. 33-89 RE: RECEPTION FOR ICI MEMBERS IN QUEBEC CITY __________________________________________________________ When NASAA convenes its fall conference in Quebec City, the Investment Company...

August 3, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 32-89 RE: ADDENDUM TO PROPOSED ILLINOIS INVESTMENT ADVISER RULES __________________________________________________________ The attached pages were inadvertently omitted from the attachment to the memorandum to the Investment...

August 3, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 31-89 RE: SOFT DOLLAR AND ORDER FLOW PRACTICES __________________________________________________________ The attached memorandum concerning the recent SEC roundtable on soft dollar and order flow practices may be of interest to you...

August 1, 1989 TO: SEC RULES COMMITTEE NO. 45-89 UNIT INVESTMENT TRUST COMMITTEE NO. 43-89 CLOSED-END FUND COMMITTEE NO. 31-89 INVESTMENT ADVISERS COMMITTEE NO. 30-89 RE: BILL ON TAKEOVER REFORM/PROXY VOTING INTRODUCED __________________________________________________________ S. 1244...

August 1, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 29-89 RE: SENATORS DODD AND HEINZ INTRODUCE "INVESTMENT ADVISER SELF-REGULATION ACT" __________________________________________________________ As we have previously informed you, the Securities and Exchange Commission has drafted...

July 19, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 28-89 RE: MARYLAND PROPOSES INVESTMENT ADVISER RULES __________________________________________________________ The Maryland Securities Divison has proposed investment adviser rules under the new Maryland investment adviser law (see...

July 17, 1989 TO: SEC RULES COMMITTEE NO. 39-89 INTERNATIONAL FUNDS TASK FORCE NO. 5-89 INVESTMENT ADVISERS COMMITTEE NO. 27-89 UNIT INVESTMENT TRUST COMMITTEE NO. 35-89 RE: PROPOSED RULE 144A __________________________________________________________ Attached is the SEC release...

July 3, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 26-89 RE: TWINS __________________________________________________________ I am pleased to inform you that on June 29 Elizabeth Bunnen became the big sister of Alison Dewar Bunnen and Philip Weil Bunnen. Robb, Meg and the kids are...

June 23, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 25-89 RE: SEC PROPOSED LEGISLATION CONCERNING INVESTMENT ADVISER SELF-REGULATORY ORGANIZATIONS __________________________________________________________ Under separate cover, the Institute has sent you a copy of proposed legislation...

June 16, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 24-89 RE: INSTITUTE TESTIFIES BEFORE OHIO SUBCOMMITTEE CONCERNING PROPOSED OHIO INVESTMENT ADVISER LEGISLATION __________________________________________________________ On June 7, 1989, the Institute testified on House Bill 226...