Investment Advisers Content

February 8, 1994 TO: BOARD OF GOVERNORS NO. 14-94 INVESTMENT ADVISERS COMMITTEE NO. 12-94 SEC RULES COMMITTEE NO. 13-94 MARKET 2000 TASK FORCE RE: SEC RELEASES MARKET 2000 REPORT __________________________________________________________ The Securities and Exchange Commission recently...

February 4, 1994 TO: COMPLIANCE COMMITTEE NO. 3-94 INVESTMENT ADVISERS COMMITTEE NO. 11-94 RE: ALLOCATION PROCEDURES __________________________________________________________ At the last meetings of the Investment Advisers and Compliance Committees, we discussed two recent SEC...

February 4, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 10-94 RE: PROPOSED DOL EXEMPTION PERMITTING CERTAIN AGENCY-CROSS TRANSACTIONS __________________________________________________________ At the Investment Advisers Committee meeting on February 1, there was a discussion about an...

January 31, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 9-94 FLORIDA INVESTMENT ADVISER ASSOCIATE MEMBERS RE: FLORIDA AMENDS INVESTMENT ADVISER REGULATIONS RELATING TO NET CAPITAL AND FINANCIAL STATEMENTS __________________________________________________________ Florida recently...

January 27, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 6-94 COLORADO INVESTMENT ADVISER ASSOCIATE MEMBERS RE: LEGISLATION INTRODUCED IN COLORADO TO REGULATE FINANCIAL PLANNERS/INVESTMENT ADVISERS __________________________________________________________ Two bills have recently been...

January 27, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 8-94 INVESTMENT ADVISERS LEGISLATION TASK FORCE RE: SEC TO DEVELOP INVESTMENT ADVISER RULES ON ITEMS INCLUDED IN INVESTMENT ADVISERS LEGISLATION __________________________________________________________ As we previously reported...

January 27, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 5-94 VERMONT INVESTMENT ADVISER ASSOCIATE MEMBERS RE: INVESTMENT ADVISER LEGISLATION INTRODUCED IN VERMONT __________________________________________________________ Legislation was recently introduced in Vermont to provide for...

January 27, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 7-94 MISSOURI INVESTMENT ADVISER ASSOCIATE MEMBERS RE: LEGISLATION INTRODUCED IN MISSOURI TO AMEND INVESTMENT ADVISER REGULATION __________________________________________________________ Legislation has been introduced in...

1January 19, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 4-94 SEC RULES COMMITTEE NO. 9-94 RE: SEC PROPOSES AMENDMENTS TO FORM ADV TO REQUIRE DISCLOSURE REGARDING WRAP FEE AND ASSET ALLOCATION PROGRAMS __________________________________________________________ The Securities and...

January 18, 1994 TO: BANK INVESTMENT MANAGEMENT MEMBERS NO. 3-94 BOARD OF GOVERNORS NO. 8-94 INVESTMENT ADVISERS COMMITTEE NO. 3-94 SEC RULES COMMITTEE NO. 8-94 STATE LIAISON COMMITTEE NO. 6-94 RE: RECENT SPEECH BY SEC COMMISSIONER ROBERTS _____________________________________________...