Investment Advisers Content

September 26, 1994 TO: CONTRACTUAL PLANS COMMITTEE NO. 12-94 INVESTMENT ADVISERS COMMITTEE NO. 52-94 STATE LIAISON COMMITTEE NO. 53-94 UNIT INVESTMENT TRUST COMMITTEE NO. 62-94 RE: INSTITUTE SUBMITS COMMENT LETTER ON WISCONSIN ADMINISTRATIVE RULE PROPOSAL _____________________________...

September 14, 1994 TO: CLOSED-END FUND COMMITTEE NO. 20-94 INVESTMENT ADVISERS COMMITTEE NO. 51-94 RE: SEC PROPOSES AMENDMENTS TO SECTION 16 FILING REQUIREMENTS __________________________________________________________ The Securities and Exchange Commission has proposed amendments to...

September 14, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 50-94 RE: NOTICE OF MEETING - OCTOBER 26, 1994 __________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for Wednesday, October 26, 1994 at the offices of the...

September 12, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 49-94 ARIZONA ASSOCIATE MEMBERS RE: INSTITUTE COMMENTS ON INVESTMENT ADVISER RULES PROPOSED BY ARIZONA SECURITIES DIVISION __________________________________________________________ As we previously informed you, the Arizona...

September 7, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 48-94 STATE LIAISON COMMITTEE NO. 51-94 UNIT INVESTMENT TRUST COMMITTEE NO. 60-94 RE: PLANS MADE TO MEET DURING NASAA'S FALL CONFERENCE __________________________________________________________ The Institute has arranged two...

September 2, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 47-94 RE: NORTH CAROLINA PROPOSES AMENDMENTS TO RULES RELATING TO INVESTMENT ADVISERS __________________________________________________________ The North Carolina Securities Division (the "Division") has issued for comment...

August 19, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 46-94 SEC RULES COMMITTEE NO. 96-94 RE: PROPOSED NASD BOARD INTERPRETATION REGARDING SUITABILITY OBLIGATIONS TO INSTITUTIONAL CLIENTS __________________________________________________________ The National Association of Securities...

August 17, 1994 TO: BOARD OF GOVERNORS NO. 80-94 FEDERAL LEGISLATION COMMITTEE NO. 23-94 FEDERAL LEGISLATION MEMBERS NO. 20-94 INVESTMENT ADVISERS COMMITTEE NO. 45-94 MEMBERS - ONE PER COMPLEX NO. 59-94 PENSION COMMITTEE NO. 25-94 SEC RULES COMMITTEE NO. 93-94 TAX COMMITTEE NO. 27-94...

August 16, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 44-94 WISCONSIN INVESTMENT ADVISER ASSOCIATE MEMBERS RE: WISCONSIN PROPOSED AMENDMENTS TO RULES RELATING TO INVESTMENT ADVISERS __________________________________________________________ The Wisconsin Commissioner of Securities...

August 4, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 43-94 ARIZONA ASSOCIATE MEMBERS RE: ARIZONA SECURITIES DIVISION ISSUES PROPOSED INVESTMENT ADVISER RULES __________________________________________________________ The Arizona Securities Division (the "Division") has issued for...