March 16, 1992 TO: INVESTMENT ADVISER MEMBERS NO. 11-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 8-92 ACCOUNTING/TREASURERS MEMBERS NO. 11-92 RE: SEC NO-ACTION LETTER ON INDEPENDENCE OF INVESTMENT ADVISER'S ACCOUNTANT __________________________________________________________ The...
March 16, 1992 TO: SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 7-92 RE: Agenda for Next Meeting; Minutes of Last Meeting __________________________________________________________ Enclosed, along with the minutes of the Winter 1992 meeting, is a preliminary agenda for the upcoming Spring...
March 17, 1992 TO: BOARD OF GOVERNORS NO. 18-92 RE: NOTICE OF MEETING - WEDNESDAY, MAY 20, 1992 __________________________________________________________ The next meeting of the Board of Governors has been scheduled for Wednesday, May 20, 1992, commencing at 10:00 am in the...
March 16, 1992 TO: BOARD OF GOVERNORS NO. 17-92 CLOSED-END FUND MEMBERS NO. 11-92 STATE SECURITIES MEMBERS NO. 11-92 UNIT INVESTMENT TRUST MEMBERS NO. 16-92 FLORIDA ASSOCIATE MEMBERS RE: INVESTMENT COMPANIES EXCLUDED FROM FLORIDA DISCLOSURE BILL _______________________________________...
March 16, 1992 TO: PENSION MEMBERS NO. 4-92 RE: PENSION PROVISIONS OF SENATE TAX BILL __________________________________________________________ The Senate has approved its version of H.R. 4210, the "Family Tax Fairness, Economic Growth and Health Care Access Act of 1992". The bill...
March 12, 1992 TO: DIRECT MARKETING COMMITTEE NO. 8-92 RE: MINUTES OF JANUARY 23 MEETING __________________________________________________________ Attached for your information are the minutes of the January 23 meeting of the Direct Marketing Committee, which was held at the Disney...
March 12, 1992 TO: BOARD OF GOVERNORS NO. 16-92 RE: INSTITUTE LETTER ON OCC REGULATORY REVIEW __________________________________________________________ As we previously informed you, the Office of the Comptroller of the Currency has issued a notice requesting public comment on...
March 12, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 13-92 COLORADO INVESTMENT ADVISER ASSOCIATE MEMBERS RE: AMENDED INVESTMENT ADVISER LEGISLATION IN COLORADO __________________________________________________________ As we previously informed you, legislation had been introduced in...
March 12, 1992 TO: INVESTMENT ADVISER MEMBERS NO. 10-92 RE: INVESTMENT ADVISER REGULATIONS ADOPTED IN INDIANA __________________________________________________________ As we previously informed you, the Indiana Securities Commission had proposed rules regarding investment adviser...
March 12, 1992 TO: SEC RULES COMMITTEE NO. 13-92 TASK FORCE ON FEE DISCLOSURE ISSUES RE: NOTICE OF MEETING OF TASK FORCE - APRIL 7, 1992 __________________________________________________________ The first meeting of the Task Force on Fee Disclosure Issues (which was established at...
March 12, 1992 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 13-92 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: AICPA STATEMENT OF POSITION ON HIGH-YIELD DEBT SECURITIES __________________________________________________________ Enclosed for your review is a copy of the AICPA's Proposed...
March 12, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 8-92 RE: NOTICE OF TWO-DAY MEETING - JUNE 22-23, 1992 __________________________________________________________ This is to advise you that there will be a two-day meeting of the Broker/Dealer Advisory Committee on June 22 and 23...
March 11, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 12-92 RE: NOTICE OF MEETING, APRIL 29, 1992 __________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for 1:30 p.m. on Wednesday, April 29, 1992 at the Sheraton...
March 10, 1992 TO: STATE SECURITIES MEMBERS NO. 10-92 BROKER/DEALER ASSOCIATE MEMBERS NO. 3-92 RE: TEXAS TELEMARKETING LAW GOES INTO EFFECT __________________________________________________________ A telemarketing bill was enacted by the Texas Legislature during the 1991 legislative...
- 1 - March 11, 1992 TO: TAX COMMITTEE NO. 8-92 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 3-92 RE: TENNESSEE COMMISSIONER OF REVENUE DENIES PASS-THROUGH OF TENNESSEE MUNICIPAL BOND INTEREST AFTER APRIL 1, 1992 __________________________________________________________ As you know...
March 10, 1992 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 14-92 RE: INSTITUTE COMMENTS ON PROPOSED MISSOURI FEE CHANGE __________________________________________________________ As we previously informed you, the Missouri Securities Division had proposed an amendment to 15 CSR 30-50.030...
March 10, 1992 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 15-92 RE: NOTICE OF MEETING, APRIL 8, 1992 __________________________________________________________ A meeting of the Unit Investment Trust Committee has been scheduled for Wednesday April 8, 1992 at 10:00 a.m. in the David...
March 10, 1992 TO: STATE LIAISON COMMITTEE NO. 9-92 RE: PRELIMINARY AGENDA FOR MARCH 30 MEETING __________________________________________________________ Attached is a preliminary agenda for the State Liaison Committee meeting scheduled for March 30, 1992. The meeting will be held at...
March 9, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 10-92 CALIFORNIA ASSOCIATE INVESTMENT ADVISER MEMBERS RE: PROPOSED FINAL TEXT OF CALIFORNIA INVESTMENT ADVISER REGULATIONS; INSTITUTE COMMENTS __________________________________________________________ As we previously informed you...
March 9, 1992 TO: CONTRACTUAL PLANS COMMITTEE NO. 6-92 RE: 1991 CONTRACTUAL PLANS STATISTICS __________________________________________________________ As you know, each year the Institute collects contractual plans sales and redemption statistics in order that we can compile the...
March 9, 1992 TO: CLOSED-END FUND COMMITTEE NO. 3-92 RE: NOTICE OF MEETING, APRIL 22, 1992 __________________________________________________________ A meeting of the Closed-End Fund Committee has been scheduled for 10:00 on Wednesday, April 22, 1992 in the David Silver Conference...
March 9, 1992 TO: SEC RULES COMMITTEE NO. 12-92 RE: NOTICE OF MEETING - APRIL 29, 1992 __________________________________________________________ The SEC Rules Committee meeting has been scheduled for Wednesday, April 29, 1992 at 10: 00 a.m. The meeting will be held at the Sheraton...
March 9, 1992 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 13-92 TENNESSEE MEMBERS MEMBERS WITH TENNESSEE BOND FUNDS RE: TENNESSEE DENIAL OF PASS-THROUGH FOR TENNESSEE OBLIGATIONS __________________________________________________________ As you know, the Tennessee Commissioner of Revenue...
March 9, 1992 TO: INTERNATIONAL COMMITTEE NO. 5-92 RE: INSTITUTE LETTER TO TREASURY AND U.S. TRADE REPRESENTATIVE CONCERNING GATT NEGOTIATIONS __________________________________________________________ As previously reported, on December 20, 1991 GATT Director General Arthur Dunkel...
March 9, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 11-92 ARIZONA ASSOCIATE INVESTMENT ADVISER MEMBERS RE: INVESTMENT ADVISER/FINANCIAL PLANNER LEGISLATION INTRODUCED IN ARIZONA __________________________________________________________ Legislation has been introduced in Arizona to...
