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Comments on Proposed Rule
Rules Implementing Amendments to the Investment Advisers Act of 1940

(Rel. No. IA-1601; File No. S7-31-96)

  • Comments of Robert T. Burns, Massachusetts Financial Services Company, Boston, Mass., February 20, 1997. (File name: burns1.htm)

  • Comments of Shartsis, Friese & Ginsburg LLP, San Francisco, Calif., February 18, 1997. (File name: shartsi1.htm)

  • Comments of James Anderson, Jr., Assistant Secretary of State for Securities, State of Mississippi, February 10, 1997. (File name: anderson.txt)

  • Comments of Phyllis Bernstein, Director, Personal Financial Planning, AICPA, February 10, 1997. (File name: aicpa.txt)

  • Comments of Dale E. Brown, CAE, Associate Executive Director, International Association for Financial Planning, Atlanta, Georgia, February 10, 1997. (File name: brownde.txt)

  • Comments of Ian E. Celecia, Chubb Securities Corporation, Warren, N.J., February 10, 1997. (File name: celecia1.txt)

  • Comments of Roberta A. Conroy, Director, Assistant General Counsel, The Capitol Group Companies, Inc., Los Angeles, Calif., February 10, 1997. (File name: conroy1.htm)

  • Comments of Kathleen G. Cully, Deputy General Counsel, Fitch Investors Services, L.P. ("Fitch"), February 10, 1997 (File name: cully.txt)

  • Comments of Robert P. Goss, CFP, President, Certified Financial Planners Board of Governers, Denver, Colorado, February 10, 1997. (File name: goss.txt)

  • Comments of Matthew H. Lynch, Allegis Realty Investors, LLC, Hartford, Conn., February 10, 1997. (File name: lynch1.htm)

  • Comments of Kim Q. Matland, Matland Money Management, February 10, 1997. (File name: matland.txt)

  • Comments of John C. Mosher, Vice President & Chief Financial Officer, Greystone Advisors, Inc., San Antonio, Texas, February 10, 1997. (File name: mosherj.txt)

  • Comments of Robert H. Newtson, Directory, Illinois Securities Department, February 10, 1997. (File name: newtson.txt)

  • Comments of Mark O'Keefe, Commissioner of Securities, Office of the Montana State Auditor, Helena, Montana, February 10, 1997. (File name: okeefe1.txt)

  • Comments of Michael W. Miller, President, South Carolian Chapter ICFP, Greenville, South Carolina, February 9, 1997. (File name: millermw.txt)

  • Comments of Deborah Bortner, Securities Administrator, State of Washington, February 7, 1997. (File name: bortnerd.txt)

  • Comments of Jacqueline H. Hallihan, President, National Regulatory Services, Inc., Lakeville, Conn., February 7, 1997. (File name: hallihan.txt)

  • Comments of Elaine F. Marshall, Secretary of State & Securities Administrator, State of North Carolina, February 7, 1997. (File name: marshall.txt)

  • Comments of Donald J. Reis, Deputy Secretary of State for Securities Regulation, State of Nevada, February 7, 1997. (File name: reisdj.txt)

  • Comments of Daniel G. Viola, J.D., President & Consultant, VioCo, Ltd., February 7, 1997. (File name: violadg.txt)

  • Comments of Jerry C. Wagner, President, Society of Asset Allocations & Fund Timers, Inc., Aurora, Calif., February 7, 1997. (File name: wagner2.txt)

  • Comments of Scott D. Greenbaum, CFP, CFS, February 6, 1997. (File name: grenbaum.txt)

  • Comments of David W. Raub, Principal, Pacific Fidelity Management, February 3, 1997. (File name: raub1.txt)

Modified: 03/04/97