Investment Advisers Content

May 10, 1993 TO: CLOSED-END FUND COMMITTEE NO. 14-93 INVESTMENT ADVISERS COMMITTEE NO. 10-93 SEC RULES COMMITTEE NO. 45-93 UNIT INVESTMENT TRUST COMMITTEE NO. 24-93 RE: SEC SEMI-ANNUAL REGULATORY AGENDA __________________________________________________________ The SEC recently...

May 5, 1993 TO: PENSION COMMITTEE NO. 15-93 INVESTMENT ADVISERS COMMITTEE NO. 9-93 RE: MEETING TO DISCUSS AGENCY CROSS-TRANSACTIONS UNDER ERISA __________________________________________________________ As you know, ERISA Prohibited Transaction Class Exemption 86-128 permits plan...

April 14, 1993 TO: BOARD OF GOVERNORS NO. 33-93 MEMBERS - ONE PER COMPLEX NO. 31-93 FEDERAL LEGISLATION COMMITTEE NO. 10-93 INVESTMENT ADVISERS COMMITTEE NO. 8-93 PENSION COMMITTEE NO. 12-93 SEC RULES COMMITTEE NO. 35-93 TAX COMMITTEE NO. 21-93 INTERNATIONAL COMMITTEE NO. 8-93 RE...

April 8, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 7-93 WASHINGTON ASSOCIATE INVESTMENT ADVISER MEMBERS RE: LEGISLATION INTRODUCED TO ESTABLISH A SECURITIES BROKERS RECOVERY ACCOUNT IN WASHINGTON __________________________________________________________ Attached is a copy of...

April 1, 1993 TO: SEC RULES COMMITTEE NO. 30-93 STATE LIAISON COMMITTEE NO. 18-93 INVESTMENT ADVISERS COMMITTEE NO. 6-93 UNIT INVESTMENT TRUST COMMITTEE NO. 17-93 RE: COMMENTS REQUESTED FOR 1993 CONFERENCE ON UNIFORMITY OF FEDERAL-STATE SECURITIES REGULATION AGENDA ___________________...

March 11, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 5-93 MISSOURI INVESTMENT ADVISER ASSOCIATE MEMBERS RE: LEGISLATION INTRODUCED IN MISSOURI TO AMEND INVESTMENT ADVISER REGULATION __________________________________________________________ Legislation has been introduced in Missouri...

March 10, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 4-93 IOWA INVESTMENT ADVISER ASSOCIATE MEMBERS RE: INTRODUCTION OF IOWA INVESTMENT ADVISER LEGISLATION __________________________________________________________ Amendments to the Iowa Uniform Securities Act were recently introduced...

March 9, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 3-93 RE: NOTICE OF MEETING, APRIL 15, 1993 __________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for 10:00 a.m. on Thursday, April 15, 1993 at the Embassy Suites...

January 7, 1993 TO: SEC RULES COMMITTEE NO. 3-93 INVESTMENT ADVISERS COMMITTEE NO. 2-93 RE: INSTITUTE REQUESTS EXEMPTION FOR INVESTMENT COMPANIES AND INVESTMENT ADVISERS FROM PUBLIC UTILITY HOLDING COMPANY ACT __________________________________________________________ In the attached...

January 5, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 1-93 RE: PRELIMINARY AGENDA FOR JANUARY 12, 1993 MEETING __________________________________________________________ Attached is a preliminary agenda for the Investment Advisers Committee meeting scheduled for 10:00 a.m. on Tuesday...