Investment Advisers Content

June 15, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 23-89 RE: INSTITUTE COMMENTS ON PROPOSED ILLINOIS INVESTMENT ADVISER RULES __________________________________________________________ On June 13, 1989, the Institute submitted the attached letter to the Illinois Securities Department...

May 17, 1989 TO: SEC RULES COMMITTEE NO. 25-89 CLOSED-END FUND COMMITTEE NO. 16-89 INVESTMENT ADVISERS COMMITTEE NO. 22-89 UNIT INVESTMENT TRUST COMMITTEE NO. 22-89 RE: INSTITUTE COMMENT LETTER ON PROPOSED RULE CHANGES UNDER SECTION 13(D) OF THE SECURITIES EXCHANGE ACT _______________...

May 15, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 21-89 NORTH CAROLINA MEMBERS NORTH CAROLINA ASSOCIATE MEMBERS RE: NORTH CAROLINA PROPOSED LEGISLATION ESTABLISHING INVESTOR SECURITY FUND __________________________________________________________ The purpose of this memorandum is to...

April 26, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 20-89 RE: VIRGINIA PROPOSES INVESTMENT ADVISER RULES __________________________________________________________ On April 19, 1989, the State Corporation Commission of Virginia proposed rules concerning investment advisers and...

April 10, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 19-89 RE: OKLAHOMA ADOPTS PROPOSED PERMANENT INVESTMENT ADVISER RULES __________________________________________________________ The Oklahoma Securities Commission has recently adopted proposed permanent rules concerning investment...

March 31, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 17-89 RE: INSTITUTE SUBMITS LETTER ON PROPOSED INVESTMENT ADVISER LEGISLATION IN WEST VIRGINIA __________________________________________________________ On March 28, 1989, the Institute submitted letter testimony to the Chairman of...

March 31, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 18-89 RE: INSTITUTE SUBMITS COMMENTS ON PROPOSED TENNESSEE INVESTMENT ADVISER REGULATIONS __________________________________________________________ In the attached letter, the Institute commented on several proposed Tennessee...

March 22, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 15-89 RE: INSTITUTE DISMISSES LAWSUIT AGAINST OKLAHOMA __________________________________________________________ As of February 24, 1989, the Institute officially dismissed its lawsuit against the Oklahoma Securities Commission...

March 22, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 16-89 RE: TENNESSEE PROPOSES INVESTMENT ADVISER REGULATIONS __________________________________________________________ The Division of Securities of the Tennessee Department of Commerce and Insurance has proposed the attached...

March 21, 1989 TO: SEC RULES COMMITTEE NO. 17-89 CLOSED-END FUND COMMITTEE NO. 6-89 INVESTMENT ADVISERS COMMITTEE NO. 14-89 RE: SEC PROPOSES RULE CHANGES CONCERNING DISCLOSURE OF OWNERSHIP IN PUBLIC COMPANIES __________________________________________________________ The SEC has...