February 24, 1992 TO: OPERATIONS COMMITTEE NO. 7-92 RE: MEETING AGENDA - MARCH 21, 1992 __________________________________________________________ Attached is the agenda for the March 21, 1992 Operations Committee meeting which will be held at the Westin La Paloma Hotel in Tucson...
February 24, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 9-92 MISSOURI INVESTMENT ADVISER ASSOCIATE MEMBERS RE: MISSOURI PROPOSES LEGISLATION TO AMEND INVESTMENT ADVISER PROVISIONS ________________________________________________________ Legislation was recently introduced in Missouri...
February 24, 1992 TO: CONTRACTUAL PLANS COMMITTEE NO. 5-92 RE: NASAA COMMITTEE ISSUES REVISED PROPOSED GUIDELINES __________________________________________________________ As we previously advised you, the Institute and certain of its contractual plan members met with representatives...
February 21, 1992 TO: SEC RULES MEMBERS NO. 7-92 OPERATIONS MEMBERS NO. 7-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 8-92 RE: MATERIALS RELATED TO SIGNATURE GUARANTEE RULE __________________________________________________________ The Institute recently sent you a synopsis of new Rule...
February 21, 1992 TO: OPERATIONS COMMITTEE NO. 6-92 BROKER/DEALER ADVISORY COMMITTEE NO. 7-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 9-92 RE: FINAL REPORT - SURVEY OF BOOK VERSUS PHYSICAL SHARES __________________________________________________________ Enclosed is a copy of the final...
February 21, 1992 TO: HUMAN RESOURCES AND TRAINING WORKING GROUP NO. 2-92 RE: Meeting on March 11 __________________________________________________________ Enclosed is an agenda for our meeting on March 11, at the Omni Shoreham Hotel in Washington, DC. If you have not made previous...
February 20, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 8-92 MARYLAND ASSOCIATE INVESTMENT ADVISER MEMBERS RE: INSTITUTE TESTIFIES ON MARYLAND LEGISLATION CONCERNING ESTABLISHMENT OF AN INVESTMENT ADVISER GUARANTY FUND __________________________________________________________ On...
February 20, 1992 TO: BOARD OF GOVERNORS NO. 11-92 INVESTMENT ISSUES COMMITTEE NO. 4-92 TASK FORCE ON GOVERNMENT SECURITIES MARKETS RE: INSTITUTE TESTIFIES ON THE GOVERNMENT SECURITIES REFORM ACT OF 1991 __________________________________________________________ The Institute...
February 19, 1992 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 10-92 RE: INSTITUTE COMMENTS ON PROPOSED AMENDMENT TO MANUAL EXEMPTION RULE IN UTAH __________________________________________________________ As we previously advised you, last year legislation was enacted in Utah which amends...
February 19, 1992 TO: PUBLIC INFORMATION COMMITTEE NO. 7-92 RE: ARTICLES __________________________________________________________ You may be interested in the two enclosed articles from the February 1 issue of Editor and Publisher concerning newspaper coverage of business news. Also...
February 19, 1992 TO: MEMBERS - ONE PER COMPLEX NO. 7-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 4-92 BROKER/DEALER ASSOCIATE MEMBERS NO. 2-92 RE: 1992 ICI Membership Directory __________________________________________________________ I am pleased to enclose a copy of the Institute...
February 18, 1992 TO: PENSION COMMITTEE NO. 10-92 RE: VIRGINIA BEGINS WITHHOLDING ON CERTAIN PENSION DISTRIBUTIONS __________________________________________________________ In 1991, Virginia enacted legislation, SB-765 and HB-1734, attached, which amends Virginia withholding...
February 18, 1992 TO: SEC RULES COMMITTEE NO. 8-92 STATE LIAISON COMMITTEE NO. 4-92 RE: NASAA COMMITTEE ISSUES "HUB AND SPOKE" DISCLOSURE LANGUAGE __________________________________________________________ The NASAA Investment Company Registration/Trading Practices Committee recently...
February 18, 1992 TO: CONTRACTUAL PLANS COMMITTEE NO. 4-92 RE: INSTITUTE COMMENTS ON REVISED NASAA COMMITTEE CONTRACTUAL PLAN GUIDELINES __________________________________________________________ The Institute recently submitted the attached comment letter to the NASAA Investment...
February 18, 1992 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 9-92 RE: MISSOURI PROPOSES REGISTRATION RULE CHANGES __________________________________________________________ The Missouri Securities Division has proposed an amendment to 15 CSR 30-50.030(2)(A)(5) to provide that the fees...
February 18, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 6-92 RE: PROPOSED STANDARD NETWORKING AGREEMENT __________________________________________________________ Attached for your review is the proposed Standard Networking Agreement which will be discussed at the Committee's...
February 18, 1992 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 11-92 INDEPENDENT ACCOUTANTS ADVISORY GROUP RE: AICPA STATEMENT OF POSITION ON RETURN OF CAPITAL __________________________________________________________ Enclosed for your review is a copy of the AICPA's Proposed Statement of...
February 13, 1992 TO: STATE SECURITIES MEMBERS NO. 8-92 UNIT INVESTMENT TRUST MEMBERS NO. 13-92 RE: SOUTH DAKOTA REVISES FORM FOR CLAIMING BLUE CHIP EXEMPTION __________________________________________________________ As we previously advised you, beginning December 1, 1991, all...
February 13, 1992 TO: MONEY MARKET FUNDS AD HOC COMMITTEE NO. 4-92 RE: DRAFT LETTER ON TECHNICAL ISSUE UNDER RULE 2a-7 __________________________________________________________ At the meeting of the ad hoc committee on January 30, 1992, there was one issue on which the members...
February 13, 1992 TO: STATE SECURITIES MEMBERS NO. 7-92 UNIT INVESTMENT TRUST MEMBERS NO. 12-92 RE: ALASKA ESTABLISHES TWO-YEAR TERM OF EFFECTIVENESS FOR SECURITIES REGISTRATION __________________________________________________________ Based on Section 45.55.110 of the Alaska...
February 13, 1992 TO: STATE SECURITIES MEMBERS NO. 6-92 UNIT INVESTMENT TRUST MEMBERS NO. 11-92 RE: REVISED FORMS U-1, U-2 AND U-2A __________________________________________________________ At the 1991 NASAA Fall Conference, the NASAA membership adopted amendments to the Uniform...
February 12, 1992 TO: SUBCOMMITTEE ON ADVERTISING NO. 4-92 RE: MEETING NOTICE - MARCH 10, 1992 __________________________________________________________ The Subcommittee on Advertising will have its next meeting on March 10, 1992 at 10:00 a.m. at the Institute. If you expect to...
February 12, 1992 TO: YIELD ENHANCEMENT TASK FORCE NO. 2-92 RE: PROPOSAL TO REQUIRE SEC YIELD TO ACCOMPANY DISTRIBUTION RATE __________________________________________________________ As you recall, at the most recent meeting of the Task Force held on January 23, the group decided...
February 12, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 4-92 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING JANUARY, 1992 __________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending January, 1992. We will...
February 12, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 5-92 FUND/SERVE PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Enclosed is a copy of the Registration Status Report as of January 31...
