Investment Advisers Content

January 13, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 2-94 RE: DRAFT AGENDA FOR FEBRUARY 1 MEETING __________________________________________________________ Attached is a draft agenda for the Investment Advisors Committee meeting scheduled for February 1, 1994. The meeting will be...

December 15, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 39-93 ARKANSAS ASSOCIATE INVESTMENT ADVISER MEMBERS RE: INSTITUTE COMMENTS ON PROPOSED ARKANSAS RULES __________________________________________________________ As we previously informed you, the Arkansas Securities Commissioner...

December 9, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 38-93 SEC RULES COMMITTEE NO. 110-93 RE: INSTITUTE COMMENTS ON NASAA AMENDMENTS TO FORM ADV RELATING TO WRAP FEE DISCLOSURES __________________________________________________________ As you may recall, in November the Board of...

December 7, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 37-93 RE: INSTITUTE COMMENTS ON PROPOSED CONNECTICUT REGULATIONS __________________________________________________________ As we previously informed you, the Connecticut Department of Banking recently issued proposed amendments...

December 7, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 36-93 ARKANSAS INVESTMENT ADVISER ASSOCIATE MEMBERS RE: PROPOSED AMENDMENTS TO ARKANSAS INVESTMENT ADVISER RULES __________________________________________________________ The Arkansas Securities Commissioner (the "Commissioner")...

November 8, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 35-93 PUBLIC INFORMATION COMMITTEE NO. 59-93 STATE LIAISON COMMITTEE NO. 52-93 RE: INSTITUTE’S RESPONSE TO UNFAVORABLE ARTICLE ABOUT NASAA PRESIDENT-ELECT __________________________________________________________ An article...

1 It should be noted that provisions in the attached regulations which are labeled "(NEW)" may actually be existing regulations that merely have been renumbered. November 8, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 34-93 RE: PROPOSED AMENDMENTS TO CONNECTICUT INVESTMENT ADVISER RULE...

November 5, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 33-93 SEC RULES COMMITTEE NO. 100-93 RE: PROPOSED NASAA AMENDMENTS TO FORM ADV RELATING TO WRAP FEE DISCLOSURES __________________________________________________________ The Board of Directors of the North American Securities...

November 4, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 32-93 RE: SEC COMMENCES PROCEEDINGS AGAINST INVESTMENT ADVISER IN CONNECTION WITH ITS PERFORMANCE ADVERTISEMENTS __________________________________________________________ On October 22, 1993, the Securities and Exchange...

November 1, 1993 TO: CLOSED-END FUND COMMITTEE NO. 25-93 INVESTMENT ADVISERS COMMITTEE NO. 31-93 SEC RULES COMMITTEE NO. 98-93 UNIT INVESTMENT TRUST COMMITTEE NO. 54-93 RE: SEC SEMI-ANNUAL REGULATORY AGENDA __________________________________________________________ The SEC recently...