April 21, 1992 TO: INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 6-92 RE: NOTICE OF MEETING, DINNER AND TOUR IN DENVER - JUNE 25 - 26, 1992 __________________________________________________________ This is to advise you that there will be a meeting of the Insurance Broker/Dealer...
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 21, 1992 TO: SEC RULES COMMITTEE NO. 22-92 RE: DRAFT AGENDA FOR APRIL 29 MEETING __________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for April 29, 1992. The meeting will be held at the Sheraton...
April 20, 1992 TO: SEC RULES COMMITTEE NO. 21-92 CLOSED-END FUND COMMITTEE NO. 7-92 RE: INSTITUTE LETTER ON NYSE PROPOSAL TO AMEND THE PROXY VOTING REQUIREMENTS FOR INITIAL APPROVAL OF ADVISORY AGREEMENT __________________________________________________________ As we previously...
April 16, 1992 TO: PENSION COMMITTEE NO. 15-92 RE: CLERICAL ERROR IN REREGISTERING MUTUAL FUND SHARES IN IRA ROLLOVER RESULTS IN TAXABLE DISTRIBUTION __________________________________________________________ In attached Private Letter Ruling 9211035, the Internal Revenue Service has...
April 16, 1992 TO: DIRECT MARKETING COMMITTEE NO. 11-92 PUBLIC INFORMATION COMMITTEE NO. 13-92 SALES FORCE MARKETING COMMITTEE NO. 11-92 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 10-92 RE: SPEAKING OPPORTUNITIES AVAILABLE __________________________________________________________...
April 16, 1992 TO: BOARD OF GOVERNORS NO. 24-92 RE: PROPOSED MINUTES OF JANUARY 29-30, 1992 MEETING __________________________________________________________ Attached hereto is a copy of the minutes of January 29-30, 1992 which are proposed to be presented to the Board of Governors...
April 16, 1992 TO: TAX COMMITTEE NO. 16-92 ACCOUNTING/TREASURERS COMMITTEE NO. 18-92 RE: MAY 6, 1992 MEETING ON SECTION 4982 ISSUES __________________________________________________________ At the most recent meeting of the Tax Committee, a subcommittee was created to identify...
April 16, 1992 TO: SEC RULES COMMITTEE NO. 20-92 STATE LIAISON COMMITTEE NO. 15-92 RE: INSTITUTE SUBMITS FOLLOW-UP COMMENTS TO NASSA COMMITTEE ON "HUB AND SPOKE" DISCLOSURE __________________________________________________________ As you know, the Institute submitted comments to the...
April 16, 1992 TO: TAX MEMBERS NO. 25-92 OPERATIONS MEMBERS NO. 17-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 23-92 RE: IRS ANNOUNCEMENT ON REVISED FORM W-9 __________________________________________________________ The attached IRS announcement reminds filers of tax information returns...
April 16, 1992 TO: SMALL FUNDS MEMBERS NO. 5-92 RE: NOTICE OF COMMITTEE MEETING - MAY 20, 1992 __________________________________________________________ This is to inform you that a Small Fund* Committee Meeting has been scheduled for Wednesday, May 20, 1992 from 9:30 a.m. until...
April 16, 1992 TO: PUBLIC INFORMATION COMMITTEE NO. 14-92 RE: JUNE 1992 COMMITTEE MEETING AND SEMINAR ON CRISIS MANAGEMENT _________________________________________________________ 1. The Public Information Committee will be holding its summer meeting in New York City on Friday, June...
April 16, 1992 TO: TAX COMMITTEE NO. 15-92 OPERATIONS COMMITTEE NO. 11-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 22-92 RE: IRS ANNOUNCES ELECTRONIC TAX FILING NATIONAL CONFERENCES AND EXHIBITIONS __________________________________________________________ In the attached notice, the IRS...
April 16, 1992 TO: TAX MEMBERS NO. 24-92 OPERATIONS MEMBERS NO. 16-92 CLOSED-END FUND MEMBERS NO. 20-92 UNIT INVESTMENT TRUST MEMBERS NO. 26-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 21-92 RE: IRS FINALIZES "B NOTICE" REGULATIONS AND UPDATES CORRESPONDING REVENUE PROCEDURE ____________...
April 15, 1992 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 22-92 RE: SEC STAFF PROPOSES MODIFIED ELTR FORMULA __________________________________________________________ The Institute has received a letter from the staff of the Division of Investment Management proposing modifications to...
April 15, 1992 TO: PENSION MEMBERS NO. 6-92 RE: REVENUE RULING ON TRANSITION RULE FOR REPEAL OF EXCLUSION OF ANNUITIES AND IRAS FROM GROSS ESTATE OF DECEDENT __________________________________________________________ Prior to the Tax Reform Act of 1984 ("TRA 84"), Internal Revenue...
April 15, 1992 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 17-92 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: ICI COMMENTS ON AICPA PROPOSED STATEMENT OF POSITION, DETERMINATION, DISCLOSURE, AND FINANCIAL STATEMENT PRESENTATION OF INCOME, CAPITAL GAIN, AND RETURN OF CAPITAL DISTRIBUTIONS BY...
April 15, 1992 TO: CONTRACTUAL PLANS COMMITTEE NO. 8-92 RE: NASAA ADOPTS FINAL GUIDELINES FOR CONTRACTUAL PLANS __________________________________________________________ At the 1992 NASAA Spring Conference, members of NASAA officially adopted the NASAA Investment Company Registration...
April 15, 1992 TO: UNIT INVESTMENT TRUST MEMBERS NO. 25-92 RE: SEC STAFF LETTER EXPRESSES CONCERNS ABOUT QUOTATION OF ESTIMATED CURRENT RETURN ALONE IN CONNECTION WITH SECONDARY MARKET SALES OF UNIT INVESTMENT TRUSTS __________________________________________________________ In the...
April 14, 1992 TO: INVESTMENT ADVISER MEMBERS NO. 16-92 RE: DISCLOSURE REQUIREMENTS IMPOSED BY JAPANESE LAW ON LARGE SHAREHOLDERS __________________________________________________________ Counsel retained by the Institute in Japan has provided information about Japan's "5 percent...
April 14, 1992 TO: SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 9-92 RE: Implications of Electronic Bulletin Boards __________________________________________________________ For those of you who were unable to attend last week's Shareholder Communications Committee meeting, enclosed are...
April 14, 1992 TO: OPERATIONS COMMITTEE NO. 10-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 20-92 RE: PROPOSED LEGISLATION TO PREVENT ABUSES OF ELECTRONIC MONITORING IN THE WORKPLACE __________________________________________________________ Attached for your review is a copy of H.R. 1218...
April 14, 1992 TO: BOARD OF GOVERNORS NO. 23-92 INTERNATIONAL COMMITTEE NO. 9-92 RE: EUROPEAN COMMISSION'S REPORT ON U.S. TRADE BARRIERS INCLUDES SECTION 7(d) __________________________________________________________ The European Commission recently published its eighth report on the...
