August 13, 1992 TO: BOARD OF GOVERNORS NO. 58-92 FEDERAL LEGISLATION MEMBERS NO. 7-92 PENSION MEMBERS NO. 22-92 RE: SENATE APPROVES EXPANDED IRA DEDUCTIBILITY __________________________________________________________ Yesterday, the U.S. Senate voted to expand eligibility for...
August 13, 1992 TO: BOARD OF GOVERNORS NO. 57-92 SEC RULES MEMBERS NO. 36-92 INVESTMENT ADVISER MEMBERS NO. 39-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 31-92 RE: SENATE APPROVES INVESTMENT ADVISER BILL __________________________________________________________ Last night, the...
August 13, 1992 TO: INVESTMENT ADVISER MEMBERS NO. 38-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 30-92 COMPLIANCE COMMITTEE NO. 10-92 RE: SEC CENSURES ADVISER AND BARS ASSOCIATED PERSON FOR VIOLATIONS OF ANTIFRAUD PROVISIONS __________________________________________________________...
August 13, 1992 TO: PUBLIC INFORMATION COMMITTEE NO. 31-92 RE: MINUTES OF THE PUBLIC INFORMATION COMMITTEE, JUNE 26, 1992 PROPOSED AGENDA FOR FRIDAY, SEPTEMBER 18, COMMITTEE MEETING __________________________________________________________ 1. The minutes of our meeting of June 26 are...
August 13, 1992 TO: MARKETING POLICY COMMITTEE NO. 30-92 RE: MINUTES OF THE PUBLIC INFORMATION COMMITTEE, JUNE 26, 1992 __________________________________________________________ Transmitted for your information is a copy of the most recent Public Information Committee minutes. Betty...
August 12, 1992 TO: SALES FORCE MARKETING COMMITTEE NO. 29-92 RE: Dinner for Bill Strott __________________________________________________________ As you may know Bill Strott is retiring from Merrill Lynch as of January 1, and our September 17 meeting will be his last as chairman of...
August 12, 1992 TO: MEMBERS - ONE PER COMPLEX NO. 25-92 RE: Annual Verification Report __________________________________________________________ Each year we ask the senior contact at each Institute member group to coordinate the important task of verifying key information with...
August 12, 1992 TO: SEC RULES MEMBERS NO. 35-92 RE: SEC STAFF DECLINES TO CHANGE POSITION ON WAIVER OF LOADS FOLLOWING REDEMPTIONS FROM UNAFFILIATED FUNDS __________________________________________________________ Several months ago, the Institute sent a letter to the staff of the...
August 12, 1992 TO: PENSION COMMITTEE NO. 29-92 RE: PROPOSED TECHNICAL CORRECTIONS TO 20 PERCENT MANDATORY WITHHOLDING REQUIREMENT __________________________________________________________ Attached is a copy of the portion of H.R. 11, as reported by the Senate Finance Committee, that...
August 12, 1992 TO: SALES FORCE MARKETING COMMITTEE NO. 30-92 RE: AGENDA FOR SEPTEMBER 17, 1992 MEETING __________________________________________________________ Attached is a preliminary agenda for the next meeting of the Sales Force Marketing Committee to be held Thursday...
August 12, 1992 TO: PENSION COMMITTEE NO. 30-92 RE: INTERNAL REVENUE SERVICE PROPOSES TO FURTHER EXTEND EFFECTIVE DATE OF FINAL NONDISCRIMINATION REGULATIONS __________________________________________________________ Earlier this year, the Internal Revenue Service announced that the...
August 11, 1992 TO: SMALL FUNDS MEMBERS NO. 16-92 RE: SMALL FUNDS CONFERENCE - OCTOBER 22-23, 1992 SECOND NOTICE __________________________________________________________ You are cordially invited to attend the annual Small Funds* Conference which is scheduled for October 22-23, 1992...
August 11, 1992 TO: HUMAN RESOURCES AND TRAINING WORKING GROUP NO. 5-92 HUMAN RESOURCES AND TRAINING NO. 3-92 RE: Mark Your Calendar for the Next Working Group Meeting-- Oct. 21 and 22 in Chicago __________________________________________________________ The next meeting of the...
August 10, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 25-92 RE: 1) MEETING AGENDA - SEPTEMBER 16-17, 1992 2) MINUTES OF MEETING - JUNE 22-23, 1992 3) NETWORKING AGREEMENT _________________________________________________________ 1) Attached is the agenda for the September 16-17...
August 10, 1992 TO: BOARD OF GOVERNORS NO. 56-92 RE: PROPOSED MINUTES OF MAY 20, 1992 MEETING __________________________________________________________ Attached hereto is a copy of the minutes of the May 20, 1992 Board of Governors meeting which are proposed to be presented to the...
August 7, 1992 TO: EDGAR FILER GROUP SEC RULES MEMBERS NO. 34-92 SMALL FUNDS MEMBERS NO. 15-92 OPERATIONS COMMITTEE NO. 22-92 UNIT INVESTMENT TRUST COMMITTEE NO. 42-92 ACCOUNTING/TREASURERS COMMITTEE NO. 35-92 RE: SEC ISSUES PROPOSALS TO REQUIRE MANDATORY ELECTRONIC FILING ON THE...
August 6, 1992 TO: BOARD OF GOVERNORS NO. 54-92 MEMBERS - ONE PER COMPLEX NO. 23-92 FEDERAL LEGISLATION COMMITTEE NO. 6-92 PENSION COMMITTEE NO. 28-92 TAX COMMITTEE NO. 31-92 RE: Senate Voting on Super IRA proposal; Letters of Support __________________________________________________...
August 6, 1992 TO: BOARD OF GOVERNORS NO. 53-92 INVESTMENT ADVISERS COMMITTEE NO. 31-92 RE: HOUSE ENERGY AND COMMERCE COMMITTEE APPROVES INVESTMENT ADVISER BILL __________________________________________________________ Early this week the House Energy and Commerce Committee approved...
August 6, 1992 TO: SEC RULES COMMITTEE NO. 57-92 CLOSED-END FUND COMMITTEE NO. 14-92 RE: SEC PROPOSES EXEMPTIVE RULES CONCERNING INVESTMENT COMPANIES ORGANIZED IN LIMITED PARTNERSHIP FORM __________________________________________________________ The Securities and Exchange Commission...
- 1 - August 6, 1992 TO: BOARD OF GOVERNORS NO. 55-92 RE: SEC PROPOSES RULES TO PERMIT PERIODIC REDEMPTIONS OF INVESTMENT COMPANY SHARES __________________________________________________________ The Securities and Exchange Commission has proposed rules and rule amendments to create...
August 5, 1992 TO: BOARD OF GOVERNORS NO. 52-92 SEC RULES COMMITTEE NO. 55-92 UNIT INVESTMENT TRUST COMMITTEE NO. 41-92 RE: INSTITUTE COMMENT LETTER ON PROPOSED 1940 ACT EXEMPTION FOR ASSET-BACKED ARRANGEMENTS __________________________________________________________ The Institute...
August 5, 1992 TO: TAX MEMBERS NO. 50-92 OPERATIONS MEMBERS NO. 29-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 43-92 RE: IRS ANNOUNCES PENALTY PROGRAM FOR 1990 INFORMATION RETURNS __________________________________________________________ The attached Internal Revenue Service...
August 5, 1992 TO: INTERNATIONAL COMMITTEE NO. 17-92 SEC RULES COMMITTEE NO. 56-92 RE: RULE 17f-5 __________________________________________________________ The Institute is forming an ad hoc subcommittee on Rule 17f-5, the rule governing foreign custody of investment company assets...
