@ 1 @ January 13, 1989 TO: OPERATIONS MEMBERS NO. 7-89 SEC RULES MEMBERS NO. 3-89 RE: SEC DENIES ICI REQUEST FOR AMENDMENT OF MARGIN RULE __________________________________________________________ The SEC's Division of Market Regulation, in the attached letter dated January 9, 1989...
January 13, 1989 TO: UNIT INVESTMENT TRUST MEMBERS NO. 5-89 RE: IRS ANNOUNCEMENT ON REISSUANCE OF STATE AND LOCAL BONDS __________________________________________________________ The Internal Revenue Service (the "IRS") has issued the attached guidance to issuers of state and local...
January 12, 1989 TO: BOARD OF GOVERNORS NO. 3-89 RE: PROPOSED MINUTES OF OCTOBER 6, 1988 __________________________________________________________ Attached hereto is a copy of the minutes of October 6, 1988 which are proposed to be presented to the Board of Governors at its next...
January 12, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 4-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGEMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of December 30...
January 12, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 3-89 RE: NOTICE OF MEETINGS - FEBRUARY 28-MARCH 1, 1989 __________________________________________________________ This is to advise you that there will be a two-day meeting of the Broker/Dealer Advisory Committee on February...
January 11, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 1-89 RE: NOVEMBER 17 MEETING __________________________________________________________ Attached is a tentative agenda for the November 17 meeting of the Unit Investment Trust Committee. The meeting will start at 10:00 a.m. and...
- 1 - January 10, 1989 TO: BOARD OF GOVERNORS NO. 2-89 STATE SECURITIES MEMBERS NO. 1-89 BLUE SKY GUIDE RECIPIENTS RE: BACK BY POPULAR DEMAND - 1988 BLUE SKY COMPLIANCE WORKSHOPS __________________________________________________________ As you may remember, the Institute held a...
January 9, 1989 TO: SEC RULES COMMITTEE NO. 2-89 RE: NASD PROPOSAL TO RESTRICT PAYMENT OF REFERRAL FEES __________________________________________________________ Attached is an NASD notice to members concerning a proposed rule that would restrict payment of fees to unregistered...
January 9, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 4-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 4-89 RE: NASD PROPOSAL TO RESTRICT PAYMENT OF REFERRAL FEES __________________________________________________________ Attached is a NASD Notice to Members concerning a proposed rule that...
- 1 - January 9, 1989 TO: TAX MEMBERS NO. 4-89 OPERATIONS MEMBERS NO. 6-89 UNIT INVESTMENT TRUST MEMBERS NO. 4-89 CLOSED-END FUND MEMBERS NO. 5-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 4-89 ACCOUNTING/TREASURERS COMMITTEE NO. 5-89 RE: IRS REVENUE PROCEDURE FOR PRODUCING...
January 6, 1989 TO: PENSION MEMBERS NO. 1-89 TAX MEMBERS NO. 3-89 OPERATIONS MEMBERS NO. 4-89 UNIT INVESTMENT TRUST MEMBERS NO. 3-89 CLOSED-END FUND MEMBERS NO. 4-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 3-89 ACCOUNTING/TREASURERS COMMITTEE NO. 4-89 RE: IRS REVENUE...
January 6, 1989 TO: TAX MEMBERS NO. 1-89 OPERATIONS MEMBERS NO. 2-89 UNIT INVESTMENT TRUST MEMBERS NO. 1-89 CLOSED-END FUND MEMBERS NO. 2-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 1-89 ACCOUNTING/TREASURERS COMMITTEE NO. 2-89 RE: IRS ANNOUNCEMENT ON FORM 1042S MAGNETIC...
January 6, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 1-89 CLOSED-END FUND MEMBERS NO. 1-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 2-89 INVESTMENT ADVISER MEMBERS NO. 2-89 OPERATIONS MEMBERS NO. 1-89 SEC RULES MEMBERS NO. 1-89 ACCOUNTING/TREASURERS COMMITTEE NO. 1-89 BROKER/DEALER...
January 6, 1989 TO: TAX MEMBERS NO. 2-89 OPERATIONS MEMBERS NO. 3-89 UNIT INVESTMENT TRUST MEMBERS NO. 2-89 CLOSED-END FUND MEMBERS NO. 3-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 2-89 ACCOUNTING/TREASURERS COMMITTEE NO. 3-89 RE: IRS ANNOUNCEMENT ON FORM 1099-DIV FOR 1989 _...
January 6, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 3-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 3-89 RE: ADVISER CHARGED WITH INSIDER TRADING; INSTITUTE HOLDS SEMINAR ON INSIDER TRADING __________________________________________________________ On December 28, 1988, the SEC brought...
January 5, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 2-89 SEC RULES COMMITTEE NO. 1-89 BROKER/DEALER ADVISORY COMMITTEE NO. 1-89 RE: ICI COMMENTS ON NASD PROPOSAL ON CUSTOMER ACCOUNT INFORMATION __________________________________________________________ Attached is an Institute...
January 4, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 1-89 RE: ICI COMMENTS ON PROPOSED REGULATION S __________________________________________________________ The Institute filed the attached comment letter with the SEC on its proposed Regulation S intended to clarify the...
January 3, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 1-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 1-89 INVESTMENT ADVISER GUIDE RECIPIENTS RE: DISCLOSURE REPORTING PAGE TO FORM U-4 __________________________________________________________ As described in the attached NASD Notice to...
January 3, 1989 TO: TAX COMMITTEE NO. 1-89 RE: AGENDA FOR TAX COMMITTEE MEETING - JANUARY 11, 1989 __________________________________________________________ Attached is the agenda for the Tax Committee Meeting on Wednesday, January 11, 1989, at 10:00 a.m. This meeting will be held at...
