Investment Advisers Content

May 3, 1994 TO: CLOSED-END FUND COMMITTEE NO. 10-94 INVESTMENT ADVISERS COMMITTEE NO. 32-94 SEC RULES COMMITTEE NO. 51-94 UNIT INVESTMENT TRUST COMMITTEE NO. 32-94 RE: SEC SEMI-ANNUAL REGULATORY AGENDA __________________________________________________________ The SEC recently...

April 22, 1994 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 17-94 INVESTMENT ADVISERS COMMITTEE NO. 31-94 RE: CFPPC ADOPTS REGULATION CONCERNING PERSONS WHO MANAGE CALIFORNIA PUBLIC INVESTMENTS __________________________________________________________ In 1990, California Government...

April 20, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 30-94 INVESTMENT ISSUES COMMITTEE NO. 8-94 SEC RULES COMMITTEE NO. 49-94 RE: INSTITUTE COMMENT LETTER ON LARGE TRADER REPROPOSAL __________________________________________________________ The Institute has filed the attached comment...

April 11, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 29-94 MISSOURI INVESTMENT ADVISER ASSOCIATE MEMBERS RE: INSTITUTE REQUESTS CONTINUING EDUCATION REQUIREMENTS BE DELETED FROM MISSOURI INVESTMENT ADVISER LEGISLATION __________________________________________________________ As we...

April 11, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 28-94 CALIFORNIA INVESTMENT ADVISER ASSOCIATE MEMBERS RE: CALIFORNIA FINANCIAL PLANNERS LEGISLATION INTRODUCED __________________________________________________________ Senate Bill 2052 was recently introduced in California to...

March 31, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 27-94 INVESTMENT ISSUES COMMITTEE NO. 6-94 SEC RULES COMMITTEE NO. 43-94 UNIT INVESTMENT TRUST COMMITTEE NO. 27-94 RE: DRAFT COMMENT LETTER ON LARGE TRADER REPORTING REPROPOSAL _______________________________________________________...

March 30, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 26-94 RE: DRAFT AGENDA FOR APRIL 12 MEETING __________________________________________________________ Attached is a draft agenda for the Investment Advisors Committee meeting scheduled for April 12, 1994. The meeting will be held...

March 28, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 25-94 SEC RULES COMMITTEE NO. 40-94 STATE LIAISON COMMITTEE NO. 27-94 UNIT INVESTMENT TRUST COMMITTEE NO. 26-94 RE: COMMENTS REQUESTED FOR 1994 CONFERENCE ON UNIFORMITY OF FEDERAL-STATE SECURITIES REGULATION AGENDA _________________...

March 23, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 24-94 SEC RULES COMMITTEE NO. 37-94 STATE LIAISON COMMITTEE NO. 26-94 UNIT INVESTMENT TRUST COMMITTEE NO. 24-94 ILLINOIS MEMBERS RE: ILLINOIS LEGISLATION __________________________________________________________ As we previously...

March 18, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 23-94 RE: SEC PROPOSED RULES UNDER THE ADVISERS ACT RELATING TO SUITABILITY AND CUSTODIAN ACCOUNT STATEMENTS __________________________________________________________ The Securities and Exchange Commission has proposed two new...