Investment Advisers Content

October 26, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 30-93 RE: SENATE BANKING COMMITTEE APPROVES INVESTMENT ADVISERS BILL __________________________________________________________ Last week, the Senate Banking Committee approved S. 423, the "Investment Adviser Oversight Act of 1993...

October 25, 1993 TO: COMPLIANCE COMMITTEE NO. 26-93 INVESTMENT ADVISERS COMMITTEE NO. 29-93 SEC RULES COMMITTEE NO. 93-93 RE: SEC SANCTIONS MUTUAL FUND ADVISER FOR VIOLATIONS OF THE 1940 ACT __________________________________________________________ The Securities and Exchange...

October 18, 1993 TO: BOARD OF GOVERNORS NO. 93-93 INVESTMENT ADVISERS COMMITTEE NO. 28-93 SEC RULES COMMITTEE NO. 91-93 UNIT INVESTMENT TRUST COMMITTEE NO. 51-93 RE: SPEECH BY SEC COMMISSIONER ROBERTS CONCERNING INVESTMENT COMPANY AND INVESTMENT ADVISER ISSUES ________________________...

September 28, 1993 TO: BOARD OF GOVERNORS NO. 85-93 BROKER/DEALER ASSOCIATE MEMBERS NO. 24-93 DIRECT MARKETING COMMITTEE NO. 51-93 INDUSTRY STATISTICS COMMITTEE NO. 14-93 INSTITUTIONAL FUNDS COMMITTEE NO. 13-93 INTERNATIONAL COMMITTEE NO. 18-93 INVESTMENT ADVISERS COMMITTEE NO. 27-93...

August 25, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 26-93 STATE LIAISON COMMITTEE NO. 38-93 UNIT INVESTMENT TRUST COMMITTEE NO. 40-93 RE: NASAA ADVISER MEETING NOW CLOSED __________________________________________________________ We previously informed you that on Saturday...

August 20, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 25-93 STATE LIAISON COMMITTEE NO. 33-93 UNIT INVESTMENT TRUST COMMITTEE NO. 34-93 RE: INVESTMENT COMPANY EVENTS DURING THE NASAA FALL CONFERENCE __________________________________________________________ PLEASE MARK YOUR CALENDARS...

August 11, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 24-93 RE: NOTICE OF MEETING, OCTOBER 19, 1993 __________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for 1:30 p.m. on Tuesday, October 19, 1993, at the...

August 10, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 23-93 PENSION COMMITTEE NO. 26-93 RE: MEETING TO DISCUSS DEPARTMENT OF LABOR PROHIBITED TRANSACTION PROCEDURES __________________________________________________________ The Department of Labor's ERISA Advisory Council has formed a...

August 2, 1993 TO: CLOSED-END FUND COMMITTEE NO. 19-93 COMPLIANCE COMMITTEE NO. 16-93 INVESTMENT ADVISERS COMMITTEE NO. 22-93 SEC RULES COMMITTEE NO. 70-93 RE: INSTITUTE LETTER ON PROPOSED AMENDMENTS TO NASD FREE-RIDING AND WITHHOLDING INTERPRETATION __________________________________...

July 22, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 21-93 SEC RULES COMMITTEE NO. 67-93 DERIVATIVE INSTRUMENTS SUBCOMMITTEE RE: INSTITUTE COMMENT LETTER ON CFTC BUNCHED ORDER PROPOSAL __________________________________________________________ As we previously informed you, the...