Investment Advisers Content

January 5, 1995 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-95 INVESTMENT ADVISERS COMMITTEE No. 1-95 OPERATIONS COMMITTEE No. 1-95 SEC RULES COMMITTEE No. 1-95 SMALL FUNDS COMMITTEE No. 1-95 TRANSFER AGENT ADVISORY COMMITTEE No. 2-95 RE: JANUARY 31, 1995 MEETING TO DISCUSS T+3...

December 27, 1994 TO: INVESTMENT ADVISERS COMMITTEE No. 61-94 RE: LETTER TO SEC REGARDING INVESTMENT ADVISER PRINCIPAL TRANSACTIONS ______________________________________________________________________________ The Institute recently circulated to the Committee a draft letter to the...

December 16, 1994 TO: INVESTMENT ADVISERS COMMITTEE No. 60-94 IDAHO INVESTMENT ADVISER ASSOCIATE MEMBERS RE: IDAHO DRAFTS PROPOSED AMENDMENT TO SECURITIES ACT RELATING TO INVESTMENT ADVISERS _____________________________________________________________________________ The Institute...

December 13, 1994 TO: INVESTMENT ADVISERS COMMITTEE No. 59-94 RE: DRAFT SIA SUBCOMMITTEE LETTER CONCERNING AN INVESTMENT ADVISER'S AUTHORITY TO ACT ON ITS CLIENTS' BEHALF ______________________________________________________________________________ We recently learned that the...

December 5, 1994 TO: INVESTMENT ADVISERS COMMITTEE No. 58-94 RE: DRAFT LETTER TO SEC REGARDING INVESTMENT ADVISER PRINCIPAL TRANSACTIONS ______________________________________________________________________________ As you may recall, in an SEC enforcement order against an investment...

November 18, 1994 TO: CLOSED-END FUND COMMITTEE No. 27-94 INVESTMENT ADVISERS COMMITTEE No. 57-94 SEC RULES COMMITTEE No. 122-94 UNIT INVESTMENT TRUST COMMITTEE No. 75-94 RE: SEC SEMI-ANNUAL REGULATORY AGENDA ____________________________________________________________________________...

November 17, 1994 TO: COMPLIANCE COMMITTEE No. 21-94 INVESTMENT ADVISERS COMMITTEE No. 56-94 SEC RULES COMMITTEE No. 121-94 RE: INSTITUTE TO SEEK INVESTMENT COMPANY/INVESTMENT ADVISER EXEMPTION FROM PUBLIC UTILITY HOLDING COMPANY REGULATION ____________________________________________...

November 8, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 55-94 STATE LIAISON COMMITTEE NO. 62-94 UNIT INVESTMENT TRUST COMMITTEE NO. 71-94 RE: TEXAS ISSUES REVISED LEGISLATIVE RECOMMENDATIONS FOR 1995 __________________________________________________________ As we previously informed...

October 28, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 54-94 NEVADA ASSOCIATE MEMBERS RE: NEVADA ADOPTS AMENDMENTS TO INVESTMENT ADVISER REGULATIONS __________________________________________________________ As we previously advised you, in June the Nevada Secretary of State published...

October 17, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 53-94 RE: DRAFT AGENDA FOR OCTOBER 26 MEETING __________________________________________________________ Attached is a draft agenda for the Investment Advisors Committee meeting scheduled for Wednesday, October 26, 1994 at the...