April 13, 1992 TO: CLOSED-END FUND COMMITTEE NO. 6-92 RE: AGENDA FOR APRIL 22 MEETING __________________________________________________________ Attached is a draft agenda for the Closed-End Fund Committee meeting scheduled for April 22, 1992 at the Institute. I look forward to seeing...
April 13, 1992 TO: STATE LIAISON COMMITTEE NO. 14-92 UNIT INVESTMENT TRUST COMMITTEE NO. 21-92 RE: INSTITUTE SUBMITS OVERSALES RECOMMENDATIONS TO NASAA COMMITTEE __________________________________________________________ As you know, one of the most important issues that remains non...
April 13, 1992 TO: HUMAN RESOURCES AND TRAINING NO. 2-92 RE: Summaries of March 11 Meetings __________________________________________________________ Enclosed are summaries of the meetings held in Washington on March 11. The material includes summaries of each of the task forces as...
April 13, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 11-92 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGEMENT STATUS REPORT __________________________________________________________ Enclosed is a copy of the Registration Status Report as of March 31, 1992...
April 10, 1992 TO: MEMBERS - ONE PER COMPLEX NO. 11-92 HUMAN RESOURCES AND TRAINING NO. 1-92 RE: Industry Human Resources and Training Personnel Directory __________________________________________________________ At the request of the Human Resources and Training Working Group, we...
April 10, 1992 TO: MARKETING POLICY COMMITTEE NO. 11-92 RE: MARKETING POLICY COMMITTEE MEETING, TUESDAY, JUNE 30, 1992 __________________________________________________________ The next meeting of the Marketing Policy Committee will be held at the Institute offices in Washington, DC...
April 9, 1992 TO: PENSION COMMITTEE NO. 14-92 RE: INTERNAL REVENUE SERVICE ISSUES LIST OF REQUIRED MODIFICATIONS FOR SPONSORS OF SIMPLIFIED EMPLOYEE PENSIONS __________________________________________________________ Attached is an Internal Revenue Service Information Package with...
April 9, 1992 TO: BOARD OF GOVERNORS NO. 22-92 RE: CONGRESSIONAL LETTER TO OCC ON BANK SECURITIES ACTIVITIES; FED RESPONSE TO LETTER ON SECTION 20 ORDERS __________________________________________________________ Attached is a copy of a letter sent by the Chairmen of the House Energy...
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 8, 1992 TO: SEC RULES MEMBERS NO. 16-92 COMPLIANCE COMMITTEE NO. 3-92 RE: SEC IMPOSES SANCTIONS ON FUND PORTFOLIO MANAGER FOR FAILURE TO RECORD ARRANGEMENT TO RESELL CERTAIN HIGH YIELD BONDS TO BROKER-DEALER __________________________________________________________ The SEC...
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...
April 7, 1992 TO: COMPLIANCE COMMITTEE NO. 2-92 RE: NOTICE OF MEETING, MAY 13, 1992 __________________________________________________________ A meeting of the Compliance Committee has been scheduled for 10:00 a.m. on Wednesday, May 13, 1992. The meeting will be held in the Institute...
April 6, 1992 TO: TAX COMMITTEE NO. 14-92 INSTITUTIONAL FUNDS COMMITTEE NO. 5-92 RE: INSTITUTE COMMENT LETTER ON PROPOSED REGULATIONS ON THE INVESTMENT OF MUNICIPAL BOND PROCEEDS IN COMMINGLED FUNDS __________________________________________________________ As you know, the Institute...
April 6, 1992 TO: STATE SECURITIES MEMBERS NO. 18-92 BROKER/DEALER ASSOCIATE MEMBERS NO. 4-92 RE: PROSPECTUS DISCLOSURE OF SALES INCENTIVES LEGISLATION NEVER INTRODUCED IN WISCONSIN __________________________________________________________ We are pleased to inform you that the...
April 6, 1992 TO: INTERNATIONAL MEMBERS NO. 8-92 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 Rule"...
April 6, 1992 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 20-92 RE: INSTITUTE SUBMITS ADDITIONAL COMMENTS ON PROPOSED MANUAL EXEMPTION RULE IN UTAH __________________________________________________________ As we previously advised you, due to last year's legislative amendment to the...
April 3, 1992 TO: SEC RULES COMMITTEE NO. 19-92 STATE LIAISON COMMITTEE NO. 13-92 RE: SEC STAFF REPORT ON "HUB AND SPOKE" FUNDS REQUESTED __________________________________________________________ Representative John D. Dingell, Chairman of the U.S. House Committee on Energy and...
- 1 - April 3, 1992 TO: TAX MEMBERS NO. 23-92 ACCOUNTING/TREASURERS MEMBERS NO. 20-92 CLOSED-END FUND MEMBERS NO. 19-92 INTERNATIONAL MEMBERS NO. 7-92 RE: PROPOSED REGULATIONS ON PASSIVE FOREIGN INVESTMENT COMPANIES CONTAIN MARK-TO-MARKET SYSTEM FOR OPEN- AND CLOSED-END FUNDS ________...
April 3, 1992 TO: OPERATIONS COMMITTEE NO. 9-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 19-92 RE: REQUEST FOR SIGNATURE GUARANTEE POLICIES & PROCEDURES UNDER RULE 17Ad-15 __________________________________________________________ Participants at the March 21, Operations Committee...
April 3, 1992 TO: TAX MEMBERS NO. 22-92 ACCOUNTING/TREASURERS MEMBERS NO. 19-92 RE: FINAL REGULATIONS UNDER SECTION 382 DEFINE "ENTITY" FOR PURPOSES OF DETERMINING OWNERSHIP CHANGES __________________________________________________________ As you know, the rules under Internal...
April 2, 1992 TO: SEC RULES COMMITTEE NO. 18-92 AD HOC TASK FORCE ON RULE 12b-1 ISSUES RE: CHAIRMAN BREEDEN IS ASKED TO REPORT TO CONGRESS ON ISSUES RAISED BY 12b-1 AND OTHER MUTUAL FUND FEES __________________________________________________________ In a recent letter to SEC Chairman...
April 2, 1992 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 19-92 RE: DRAFT AGENDA FOR APRIL 8 COMMITTEE MEETING __________________________________________________________ Attached is a draft agenda for the next meeting of the Unit Investment Trust Committee, scheduled for Wednesday, April...
April 2, 1992 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 18-92 RE: MEETING AGENDA - APRIL 9, 1992 __________________________________________________________ Attached is the agenda for the Transfer Agent Advisory Committee meeting starting at 9:30 a.m. at the Capital Hilton Hotel...
April 1, 1992 TO: SMALL FUNDS MEMBERS NO. 3-92 RE: WHAT IS A SMALL FUND? NEW DEFINITION __________________________________________________________ On March 26, 1992, we forwarded to members an invitation to attend the May 20, 1992 meeting of the Small Fund Committee (to be held at the...
