Investment Advisers Content

* Securities and Exchange Commission v. John Kaweske, No. 95-N-296 (D. Co. filed Feb. 6, 1995). February 9, 1995 TO: BOARD OF GOVERNORS No. 27-95 COMPLIANCE COMMITTEE No. 9-95 INVESTMENT ADVISERS COMMITTEE No. 11-95 SEC RULES COMMITTEE No. 19-95 RE: SEC FILES COMPLAINT AGAINST FORMER...

1 See Memorandum to Compliance Committee No. 3-95, Investment Advisers Committee No. 6-95, SEC Rules Committee No. 10-95 and Unit Investment Trust Committee No. 7-95, dated January 23, 1995. February 7, 1995 TO: COMPLIANCE COMMITTEE No. 8-95 INVESTMENT ADVISERS COMMITTEE No. 10-95 SEC...

1 See Memorandum to Investment Advisers Committee No. 5-95 and SEC Rules Committee No. 7-95, dated January 17, 1995. February 2, 1995 TO: INVESTMENT ADVISERS COMMITTEE No. 9-95 SEC RULES COMMITTEE No. 16-95 RE: CONGRESSMAN GONZALEZ INTRODUCES DERIVATIVES LEGISLATION __________________...

February 2, 1995 TO: INVESTMENT ADVISERS COMMITTEE No. 8-95 RE: DRAFT AGENDA FOR FEBRUARY 15 MEETING ______________________________________________________________________________ Attached is a draft agenda for the Investment Advisers Committee meeting scheduled for Wednesday...

January 24, 1995 TO: INVESTMENT ADVISERS COMMITTEE No. 7-95 STATE LIAISON COMMITTEE No. 6-95 UNIT INVESTMENT TRUST COMMITTEE No. 8-95 TEXAS INVESTMENT ADVISER ASSOCIATE MEMBERS RE: TEXAS STATE SECURITIES BOARD PROPOSES AMENDMENTS TO REGULATIONS GOVERNING SECURITIES REGISTRATION AND...

1 See Memorandum to Compliance Committee No. 21-94, Investment Advisers Committee No. 56-94 and SEC Rules Committee No. 121-94, dated November 17, 1994. January 23, 1995 TO: COMPLIANCE COMMITTEE No. 3-95 INVESTMENT ADVISERS COMMITTEE No. 6-95 SEC RULES COMMITTEE No. 10-95 UNIT...

January 17, 1995 TO: INVESTMENT ADVISERS COMMITTEE No. 5-95 SEC RULES COMMITTEE No. 7-95 RE: CONGRESSMAN LEACH INTRODUCES DERIVATIVES LEGISLATION ______________________________________________________________________________ Congressman James Leach (R-IA), Chairman of the House...

January 13, 1995 TO: INVESTMENT ADVISERS COMMITTEE No. 4-95 STATE LIAISON COMMITTEE No. 4-95 UNIT INVESTMENT TRUST COMMITTEE No. 4-95 ARKANSAS INVESTMENT ADVISER ASSOCIATE MEMBERS RE: ARKANSAS DRAFTS PROPOSED AMENDMENTS TO SECURITIES ACT RELATING TO REGISTRATION OF INVESTMENT COMPANY...

January 11, 1995 TO: INVESTMENT ADVISERS COMMITTEE No. 2-95 RE: NOTICE OF MEETING - FEBRUARY 15, 1995 ______________________________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for 1:30 pm on Wednesday, February 15...

January 11, 1995 TO: INVESTMENT ADVISERS COMMITTEE No. 3-95 RE: INVESTMENT ADVISERS LEGISLATION INTRODUCED IN THE SENATE ______________________________________________________________________________ Last week, Senator Phil Gramm, a member of the Senate Banking Committee, introduced S...