Investment Advisers Content

June 30, 1993 TO: COMPLIANCE COMMITTEE NO. 13-93 INVESTMENT ADVISERS COMMITTEE NO. 20-93 SEC RULES COMMITTEE NO. 57-93 RE: SEC FURTHER CLARIFIES ROLE OF SUPERVISORS __________________________________________________________ As you may know, in administrative proceedings last year...

June 29, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 18-93 OREGON ASSOCIATE MEMBERS RE: OREGON INVESTMENT ADVISERS BILL __________________________________________________________ The Oregon legislature is considering the attached bill, which would make two key changes to the regulation...

June 29, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 19-93 NEW YORK ASSOCIATE MEMBERS RE: NEW YORK INVESTMENT ADVISERS BILL __________________________________________________________ The New York legislature is considering two bills that would amend the investment adviser provisions of...

June 23, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 16-93 RHODE ISLAND INVESTMENT ADVISER ASSOCIATE MEMBERS RE: INVESTMENT ADVISER LEGISLATION INTRODUCED IN RHODE ISLAND __________________________________________________________ Legislation amending the definition of "investment...

June 23, 1993 TO: CLOSED-END FUND COMMITTEE NO. 17-93 COMPLIANCE COMMITTEE NO. 12-93 INVESTMENT ADVISERS COMMITTEE NO. 15-93 SEC RULES COMMITTEE NO. 55-93 RE: NASD PROPOSES AMENDMENTS TO FREE-RIDING AND WITHHOLDING INTERPRETATION _______________________________________________________...

June 23, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 17-93 DISTRICT OF COLUMBIA INVESTMENT ADVISER ASSOCIATE MEMBERS RE: INSTITUTE COMMENT LETTER ON PROPOSED DISTRICT OF COLUMBIA INVESTMENT ADVISER RULES __________________________________________________________ As we previously...

June 18, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 14-93 RE: MASSACHUSETTS INVESTMENT ADVISERS BILL __________________________________________________________ The Massachusetts House of Representatives is considering the attached bill, which generally would adopt provisions to (1)...

May 25, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 13-93 DISTRICT OF COLUMBIA INVESTMENT ADVISER ASSOCIATE MEMBERS RE: PROPOSED DISTRICT OF COLUMBIA INVESTMENT ADVISER RULES __________________________________________________________ As we previously informed you, the District of...

May 20, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 12-93 WASHINGTON ASSOCIATE INVESTMENT ADVISER MEMBERS RE: SECURITIES BROKERS RECOVERY ACCOUNT LEGISLATION FAILS IN WASHINGTON __________________________________________________________ The Institute had previously advised you that...

May 11, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 11-93 SEC RULES COMMITTEE NO. 46-93 DERIVATIVE INSTRUMENTS SUBCOMMITTEE RE: CFTC PROPOSES RULE AMENDMENTS TO PERMIT BUNCHED ORDERS __________________________________________________________ The Commodity Futures Trading Commission is...