Investment Advisers Content

December 1, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 41-92 RE: NOTICE OF MEETING, JANUARY 12, 1993 __________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for 10:00 a.m. on Tuesday, January 12, 1993 at the...

November 18, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 40-92 STATE LIAISON COMMITTEE NO. 43-92 UNIT INVESTMENT TRUST COMMITTEE NO. 70-92 RE: NASAA NAMES NEW EXECUTIVE DIRECTOR AND ANNOUNCES 1993 COMMITTEE ASSIGNMENTS __________________________________________________________ Fowler...

November 11, 1992 TO: CLOSED-END FUND COMMITTEE NO. 29-92 INVESTMENT ADVISERS COMMITTEE NO. 39-92 SEC RULES COMMITTEE NO. 87-92 UNIT INVESTMENT TRUST COMMITTEE NO. 67-92 RE: SEC SEMIANNUAL REGULATORY AGENDA __________________________________________________________ The Securities and...

November 2, 1992 TO: CLOSED-END FUND COMMITTEE NO. 27-92 INVESTMENT ADVISERS COMMITTEE NO. 38-92 SEC RULES COMMITTEE NO. 83-92 RE: CFTC PROPOSES AMENDMENTS TO RULE 4.5 __________________________________________________________ The Commodity Futures Trading Commission ("CFTC") has...

October 15, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 37-92 STATE LIAISON COMMITTEE NO. 42-92 UNIT INVESTMENT TRUST COMMITTEE NO. 60-92 RE: NASAA COMMITTEE CHAIR ASSIGNMENTS FOR 1993 __________________________________________________________ The Institute has been advised that the...

October 9, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 36-92 RE: DRAFT AGENDA FOR OCTOBER 20TH MEETING __________________________________________________________ Attached is a draft agenda for the Investment Advisers Committee meeting scheduled for October 20, 1992. The meeting will be...

September 30, 1992 TO: STATE LIAISON COMMITTEE NO. 38-92 INVESTMENT ADVISERS COMMITTEE NO. 35-92 UNIT INVESTMENT TRUST COMMITTEE NO. 57-92 CONTRACTUAL PLANS COMMITTEE NO. 14-92 SUBCOMMITTEE ON ADVERTISING NO. 12-92 RE: INSTITUTE COMMENTS ON PROPOSED WISCONSIN RULE AMENDMENTS _________...

September 21, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 34-92 BROKER/DEALER ASSOCIATE MEMBERS NO. 14-92 RE: ADOPTION OF AMENDMENTS TO FORM BD THAT ARE ANTICIPATED FOR FORM ADV __________________________________________________________ The SEC recently adopted amendments to Form BD...

September 17, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 33-92 RE: NOTICE OF MEETING OCTOBER 20, 1992 __________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for Tuesday, October 20, 1992 at 1:30 P.M. at the...

September 10, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 32-92 WISCONSIN ASSOCIATE MEMBERS RE: WISCONSIN PROPOSES RULE AMENDMENTS __________________________________________________________ The Office of the Wisconsin Securities Commissioner recently proposed several revisions to the...