Investment Advisers Content

July 22, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 42-94 MASSACHUSETTS INVESTMENT ADVISER ASSOCIATE MEMBERS RE: INSTITUTE COMMENTS ON INVESTMENT ADVISER REGULATIONS PROPOSED BY THE MASSACHUSETTS DIVISION OF SECURITIES __________________________________________________________ As we...

June 28, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 41-94 NEVADA ASSOCIATE MEMBERS RE: PROPOSED AMENDMENTS TO NEVADA INVESTMENT ADVISER REGULATIONS __________________________________________________________ The Nevada Secretary of State has published for comment proposed amendments to...

June 27, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 40-94 PENSION COMMITTEE NO. 21-94 RE: DEPARTMENT OF LABOR GRANTS ERISA INDIVIDUAL PROHIBITED TRANSACTION EXEMPTION FOR CERTAIN AGENCY CROSS-TRANSACTIONS __________________________________________________________ The Department of...

June 24, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 39-94 STATE LIAISON COMMITTEE NO. 39-94 UNIT INVESTMENT TRUST COMMITTEE NO. 44-94 RE: INSTITUTE COMMENTS ON PROPOSED TEXAS REGULATIONS __________________________________________________________ As we previously informed you, the...

June 16, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 38-94 MASSACHUSETTS INVESTMENT ADVISER ASSOCIATE MEMBERS RE: MASSACHUSETTS PROPOSES INVESTMENT ADVISER REGULATIONS __________________________________________________________ The Massachusetts Securities Division (the "Division") has...

June 9, 1994 TO: BOARD OF GOVERNORS NO. 50-94 BROKER/DEALER ASSOCIATE MEMBERS NO. 11-94 DIRECT MARKETING COMMITTEE NO. 13-94 INDUSTRY STATISTICS COMMITTEE NO. 10-94 INTERNATIONAL COMMITTEE NO. 10-94 INVESTMENT ADVISERS COMMITTEE NO. 37-94 MARKETING POLICY COMMITTEE NO. 23-94 MEMBERS -...

May 25, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 36-94 RE: INSTITUTE COMMENTS ON SEC PROPOSED RULES RELATING TO SUITABILITY AND CUSTODIAN ACCOUNT STATEMENTS __________________________________________________________ As we previously informed you, the Securities and Exchange...

May 23, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 35-94 SEC RULES COMMITTEE NO. 56-94 RE: SEC ADOPTS AMENDMENTS TO PUBLIC UTILITY HOLDING COMPANY ACT RULES __________________________________________________________ Last year, the Institute submitted a comment letter to the Securities...

May 13, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 34-94 STATE LIAISON COMMITTEE NO. 32-94 UNIT INVESTMENT TRUST COMMITTEE NO. 35-94 RE: TEXAS ISSUES PROPOSED LEGISLATIVE RECOMMENDATIONS FOR COMMENT __________________________________________________________ The Texas State Securities...

May 9, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 33-94 RE: DRAFT COMMENT LETTER ON SEC PROPOSED RULES RELATING TO SUITABILITY AND CUSTODIAN ACCOUNT STATEMENTS __________________________________________________________ As we previously informed you, the Securities and Exchange...