Investment Advisers Content

May 11, 1992 TO: CLOSED-END FUND COMMITTEE NO. 10-92 INVESTMENT ADVISERS COMMITTEE NO. 21-92 SEC RULES COMMITTEE NO. 31-92 UNIT INVESTMENT TRUST COMMITTEE NO. 26-92 RE: SEC SEMIANNUAL REGULATORY AGENDA __________________________________________________________ The Securities and...

May 5, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 20-92 SEC RULES COMMITTEE NO. 27-92 RE: CHAIRMAN DINGELL'S LETTER TO THE SEC ABOUT WRAP FEE PRODUCTS __________________________________________________________ Congressman John Dingell, Chairman of the House Committee on Energy and...

- 1 - May 1, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 19-92 RE: STAFF DISCUSSION DRAFT OF HOUSE BILL ON INVESTMENT ADVISER REGULATION __________________________________________________________ Attached is a copy of a staff discussion draft of the House bill on investment adviser...

April 21, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 18-92 RE: DRAFT AGENDA FOR APRIL 29 MEETING __________________________________________________________ Attached is a draft agenda for the Investement Advisers Committee meeting scheduled for April 29, 1992. The meeting will be held...

April 8, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 17-92 INVESTMENT ISSUES COMMITTEE NO. 6-92 RE: POSSIBLE INTRODUCTION OF LEGISLATION RELATING TO PAYMENTS FOR ORDER FLOW __________________________________________________________ In a recent letter to SEC Chairman Breeden, House...

April 7, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 16-92 CALIFORNIA INVESTMENT ADVISER ASSOCIATE MEMBERS RE: FINANCIAL PLANNER LEGISLATION INTRODUCED IN CALIFORNIA __________________________________________________________ A bill has been introduced in California relating to the...

March 31, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 15-92 ARIZONA ASSOCIATE INVESTMENT ADVISER MEMBERS RE: ARIZONA INVESTMENT ADVISER/FINANCIAL PLANNER LEGISLATION FAILS TO PASS HOUSE COMMITTEE __________________________________________________________ Arizona currently does not...

March 26, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 14-92 FLORIDA INVESTMENT ADVISER MEMBERS FLORIDA INVESTMENT ADVISER ASSOCIATE MEMBERS RE: INSTITUTE COMMENTS ON FLORIDA BRANCH OFFICE PROPOSAL __________________________________________________________ As you may recall, the Florida...

March 12, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 13-92 COLORADO INVESTMENT ADVISER ASSOCIATE MEMBERS RE: AMENDED INVESTMENT ADVISER LEGISLATION IN COLORADO __________________________________________________________ As we previously informed you, legislation had been introduced in...

March 11, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 12-92 RE: NOTICE OF MEETING, APRIL 29, 1992 __________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for 1:30 p.m. on Wednesday, April 29, 1992 at the Sheraton...