March 9, 1992 TO: MEMBERS - ONE PER COMPLEX NO. 9-92 RE: SPECIAL SALES LOAD SURVEY FOR 22(d) STUDY __________________________________________________________ As you may recall, in the release requesting comments on reform of the Investment Company Act of 1940, the SEC requested...
March 6, 1992 TO: DIRECT MARKETING COMMITTEE NO. 7-92 SALES FORCE MARKETING COMMITTEE NO. 8-92 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 6-92 RE: REPLY TO WALL STREET JOURNAL OP-ED __________________________________________________________ Attached is a letter we have just sent to the...
March 6, 1992 TO: INTERNATIONAL MEMBERS NO. 4-92 INVESTMENT ADVISER MEMBERS NO. 9-92 RE: NEW ITALIAN SECURITIES LEGISLATION __________________________________________________________ Counsel to the Institute has provided information about Italian legislation with important...
March 6, 1992 TO: MEMBERS - ONE PER COMPLEX NO. 8-92 OPERATIONS MEMBERS NO. 9-92 SEC RULES MEMBERS NO. 11-92 TAX MEMBERS NO. 13-92 ACCOUNTING/TREASURERS MEMBERS NO. 9-92 RE: PORTFOLIO COMPLIANCE WORKSHOPS -- ADDITIONAL SESSION ADDED ____________________________________________________...
March 5, 1992 TO: SEC RULES COMMITTEE NO. 11-92 STATE LIAISON COMMITTEE NO. 8-92 UNIT INVESTMENT TRUST COMMITTEE NO. 12-92 RE: SEC URGES FEDERAL APPEALS COURT TO AFFIRM DISTRICT COURT DECISION AGAINST FUNDS THAT FAILED TO REGISTER WITH STATES __________________________________________...
March 5, 1992 TO: STATE SECURITIES MEMBERS NO. 9-92 UNIT INVESTMENT TRUST MEMBERS NO. 15-92 RE: MASSACHUSETTS AMENDS PROVISIONS TO DENY, SUSPEND OR REVOKE A REGISTRATION STATEMENT __________________________________________________________ Legislation was passed by the Massachusetts...
March 5, 1992 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 11-92 MEMBER COMPLEXES WITH TENNESSEE-ONLY TAX-EXEMPT FUNDS RE: TENNESSEE REVENUE COMMISSIONER ANNOUNCES END OF PASS-THROUGH OF TENNESSEE OBLIGATION INTEREST AS OF APRIL 1, 1992 _____________________________________________________...
March 4, 1992 TO: SEC RULES COMMITTEE NO. 10-92 STATE LIAISON COMMITTEE NO. 7-92 FLORIDA MEMBERS FLORIDA ASSOCIATE MEMBERS RE: LEGISLATION INTRODUCED IN FLORIDA TO REQUIRE PROSPECTUS DISCLOSURE OF "DOING BUSINESS IN CUBA" __________________________________________________________ A...
March 4, 1992 TO: SEC RULES COMMITTEE NO. 9-92 STATE LIAISON COMMITTEE NO. 6-92 RE: INSTITUTE COMMENTS ON NASAA "HUB AND SPOKE" DISCLOSURE __________________________________________________________ As we previously advised you, last month the NASAA Investment Company Registration...
March 4, 1992 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 12-92 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: MEETING AGENDA - MARCH 10, 1992 __________________________________________________________ The agenda for the meeting of the Accounting/Treasurers Committee and the Independent...
March 4, 1992 TO: TAX COMMITTEE NO. 7-92 PENSION COMMITTEE NO. 12-92 RE: NOTICE OF MEETINGS, APRIL 7, 1992 __________________________________________________________ The Tax and Pension Committee meetings have been scheduled for Tuesday, April 7, 1992. The Tax Committee will meet at...
11 The bill, H.R. 4210, is titled the "Tax Fairness and Economic Growth Act of 1992." 22 The IRA withdrawal and pension simplification provisions are discussed separately in Institute Memorandum to Pension Members No. 3-92, dated February 27, 1992. March 2, 1992 TO: TAX MEMBERS NO. 12...
March 3, 1992 TO: DIRECT MARKETING COMMITTEE NO. 6-92 MARKETING POLICY COMMITTEE NO. 7-92 PUBLIC INFORMATION COMMITTEE NO. 9-92 RESEARCH COMMITTEE NO. 4-92 SALES FORCE MARKETING COMMITTEE NO. 7-92 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 5-92 SMALL FUNDS COMMITTEE NO. 3-92 MEMBERS...
March 2, 1992 TO: TAX MEMBERS NO. 11-92 ACCOUNTING/TREASURERS MEMBERS NO. 7-92 12b-1 AD HOC COMMITTEE RE: SUPREME COURT DENIES DEDUCTION FOR EXPENSES INCURRED IN TAKEOVER __________________________________________________________ In Indopco, Inc. v. Commissioner, No. 90-1278, February...
March 2, 1992 TO: DIRECT MARKETING COMMITTEE NO. 5-92 PUBLIC INFORMATION COMMITTEE NO. 8-92 SALES FORCE MARKETING COMMITTEE NO. 6-92 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 4-92 RE: APRIL COMMITTEE MEETING SCHEDULE __________________________________________________________ The next...
March 2, 1992 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 10-92 RE: NOTICE OF MEETING - APRIL 9, 1992 __________________________________________________________ This is to advise you that there will be a meeting of the Transfer Agent Advisory Committee on Thursday, April 9, 1992...
March 2, 1992 TO: PENSION COMMITTEE NO. 11-92 RE: INTERNAL REVENUE SERVICE ANNOUNCES EXTENSION OF EFFECTIVE DATE FOR NONDISCRIMINATION REQUIREMENTS FOR QUALIFIED PLANS __________________________________________________________ The attached Internal Revenue Service Announcement (No. 92...
February 28, 1992 TO: BOARD OF GOVERNORS NO. 15-92 SEC RULES MEMBERS NO. 10-92 INVESTMENT ADVISER MEMBERS NO. 8-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 7-92 RE: INVESTMENT ADVISER LEGISLATION INTRODUCED IN THE SENATE __________________________________________________________ On...
February 28, 1992 TO: STATE LIAISON COMMITTEE NO. 5-92 RE: NOTICE OF MEETING - MARCH 30, 1992 __________________________________________________________ The State Liaison Committee meeting has been scheduled for 1:30 p.m. on Monday, March 30, 1992. The meeting will be held at The...
- 1 - February 27, 1992 TO: PENSION MEMBERS NO. 3-92 RE: PENSION PROVISIONS OF H.R. 4210, THE TAX FAIRNESS AND ECONOMIC GROWTH ACT OF 1992 __________________________________________________________ H.R. 4210, The Tax Fairness and Economic Growth Act of 1992, approved today by the...
February 26, 1992 TO: BOARD OF GOVERNORS NO. 14-92 SEC RULES MEMBERS NO. 9-92 INVESTMENT ADVISER MEMBERS NO. 7-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 6-92 RE: SEC SUBMITS INVESTMENT ADVISER PROPOSALS TO SENATE SUBCOMMITTEE; INSTITUTE TESTIFIES ____________________________________...
February 25, 1992 TO: BOARD OF GOVERNORS NO. 13-92 RE: OCC REGULATORY REVIEW __________________________________________________________ The Office of the Comptroller of the Currency has issued a notice requesting comments on regulations that "may hinder economic growth". The notice...
February 25, 1992 TO: SMALL FUNDS MEMBERS NO. 1-92 RE: SEC URGES FEDERAL APPEALS COURT TO AFFIRM DISTRICT COURT DECISION AGAINST FUNDS THAT FAILED TO REGISTER WITH STATES __________________________________________________________ The Securities and Exchange Commission recently filed a...
February 25, 1992 TO: BOARD OF GOVERNORS NO. 12-92 SEC RULES MEMBERS NO. 8-92 TASK FORCE ON SMALL CAPITALIZATION INVESTMENTS RE: CHAIRMAN BREEDEN'S SPEECH ON THE SEC'S SMALL BUSINESS INITIATIVE __________________________________________________________ In a recent speech at the...
February 24, 1992 TO: INVESTMENT ADVISER MEMBERS NO. 6-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 5-92 RE: PERMANENT INJUNCTION ISSUED AGAINST CALIFORNIA ADVISER ALLEGED TO HAVE DEFRAUDED SMALL MUNICIPALITIES __________________________________________________________ The U.S...
