February 12, 1992 TO: SALES FORCE MARKETING COMMITTEE NO. 5-92 RE: MINUTES OF JANUARY 24, 1992 MEETING __________________________________________________________ Attached for your review are minutes of the January 24, 1992, meeting of the Sales Force Marketing Committee meeting in...
February 11, 1992 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 9-92 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: 1. MULTIPLE CLASS ACCOUNTING AND REPORTING PAPER 2. MARCH 10, 1992 ACCOUNTING & TREASURERS MEETING -- AGENDA SUGGESTIONS __________________________________________________________...
February 11, 1992 TO: INTERNATIONAL COMMITTEE NO. 3-92 RE: INSTITUTE LETTER TO THE FINANCIAL SERVICES GROUP REGARDING BARRIERS IN KOREA AND JAPAN __________________________________________________________ The State Department has requested the assistance of members of the financial...
February 11, 1992 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 8-92 RE: MEETING WITH FEDERAL RESERVE BOARD STAFF ON MARGIN REGULATION PROPOSAL __________________________________________________________ Attached for your information is a memorandum describing a meeting last week between the...
February 11, 1992 TO: SEC RULES COMMITTEE NO. 7-92 ACCOUNTING/TREASURERS COMMITTEE NO. 10-92 RE: ELIMINATION OF UNNECESSARY REGULATION TO PROMOTE CAPITAL FORMATION __________________________________________________________ In President Bush's recent State of the Union address, he...
February 10, 1992 TO: TAX COMMITTEE NO. 6-92 RE: MASSACHUSETTS LETTER RULING THAT DELAWARE TRUST IS A "FOREIGN CORPORATION" BUT LACKS NEXUS TO BE TAXED __________________________________________________________ Attached Massachusetts Department of Revenue Letter Ruling 91-2 concludes...
February 10, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 7-92 MISSOURI INVESTMENT ADVISER ASSOCIATE MEMBERS RE: MISSOURI INTRODUCES FINANCIAL PLANNER LEGISLATION __________________________________________________________ Legislation has been introduced in Missouri to amend the Missouri...
February 10, 1992 TO: OPERATIONS MEMBERS NO. 6-92 RE: COMPLIANCE WITH NEW SIGNATURE GUARANTEE RULE __________________________________________________________ A meeting of the Institute's Transfer Agent Advisory Committee was held on Friday, January 31, 1992 in Washington to identify...
February 10, 1992 TO: SUBCOMMITTEE ON ADVERTISING NO. 3-92 1990s AD HOC COMMITTEE RE: NASD RESPONSE TO INSTITUTE LETTER ON RULE 482 LIABILITY __________________________________________________________ As we previously informed you, the Institute recently submitted a letter to the NASD...
February 7, 1992 TO: MARKETING POLICY COMMITTEE NO. 6-92 PUBLIC INFORMATION COMMITTEE NO. 6-92 RE: ARTICLE ON BUSINESS NEWS COVERAGE __________________________________________________________ Thought you would want to see the attached article, that appears in the current issue of...
February 7, 1992 TO: SEC RULES MEMBERS NO. 6-92 OPERATIONS MEMBERS NO. 5-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 7-92 RE: COMPLIANCE WITH NEW SIGNATURE GUARANTEE RULE __________________________________________________________ A meeting of the Institute's Transfer Agent Advisory...
February 7, 1992 TO: PENSION MEMBERS NO. 2-92 RE: IRS ANNOUNCES 1992 COST-OF-LIVING ADJUSTMENTS FOR PENSION PLAN LIMITATIONS __________________________________________________________ Enclosed is Internal Revenue Service News Release IR-92-3, which sets forth the cost-of-living...
February 7, 1992 TO: PENSION COMMITTEE NO. 9-92 RE: PRIVATE LETTER RULING ON ROLLOVER OF LUMP SUM DISTRIBUTION DESPITE EARLIER RECEIPT OF REQUIRED MINIMUM DISTRIBUTIONS __________________________________________________________ In attached Private Letter Ruling 9143078, an employee...
February 7, 1992 TO: TAX COMMITTEE NO. 5-92 ACCOUNTING/TREASURERS COMMITTEE NO. 8-92 RE: REGULATIONS ON EXTENSION OF TIME TO FILE ELECTIONS WHEN TIME NOT EXPRESSLY PRESCRIBED BY STATUTE __________________________________________________________ The Treasury Department has recently...
February 6, 1992 TO: BOARD OF GOVERNORS NO. 10-92 RE: ICI EDUCATION FOUNDATION INTERVIEWS WITH CONSULTANT __________________________________________________________ For those of you who attended the Board of Governors meeting last week, enclosed is a copy of the Education Foundation...
February 5, 1992 TO: CONTRACTUAL PLANS COMMITTEE NO. 3-92 RE: DRAFT LETTER TO NASAA RESPONDING TO REVISED PROPOSED GUIDELINES __________________________________________________________ Pursuant to the Contractual Plans Committee's February 3, 1992 teleconference, attached is a draft...
February 5, 1992 TO: BOARD OF GOVERNORS NO. 9-92 SEC RULES COMMITTEE NO. 6-92 RE: SEC BUDGET REQUEST FOR FISCAL YEAR 1993 __________________________________________________________ Attached is a copy of the budget estimate of the Securities and Exchange Commission for fiscal year 1993...
February 4, 1992 TO: INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 1-92 RE: MEETING AGENDA - FEBRUARY 28, 1992 __________________________________________________________ Enclosed for your review is the agenda for the February 28, 1992 meeting of the Insurance Broker-Dealer Advisory...
February 4, 1992 TO: INVESTMENT ADVISER MEMBERS NO. 5-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 3-92 RE: RECENT NO-ACTION LETTER ON THE STATUS OF A WRAP FEE PROGRAM UNDER THE INVESTMENT COMPANY ACT __________________________________________________________ The staff of the Division...
February 4, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 6-92 RE: POSTPONEMENT OF CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION HEARING __________________________________________________________ As we previously informed you, the California Fair Political Practices Commission had...
February 3, 1992 TO: MONEY MARKET FUNDS AD HOC COMMITTEE NO. 3-92 RE: STAFF NO-ACTION LETTER PERMITTING AN AFFILIATE OF THE SUB-ADVISER TO A MONEY MARKET FUND TO "PURCHASE" A DEFAULTED SECURITY FROM THE FUND __________________________________________________________ The staff of the...
January 31, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 5-92 COLORADO ASSOCIATE INVESTMENT ADVISER MEMBERS RE: FINANCIAL PLANNER LEGISLATION INTRODUCED IN COLORADO __________________________________________________________ Legislation has been introduced in Colorado concerning...
January 30, 1992 TO: MEMBERS - ONE PER COMPLEX NO. 6-92 CLOSED-END FUND MEMBERS NO. 9-92 INVESTMENT ADVISER MEMBERS NO. 4-92 SEC RULES MEMBERS NO. 5-92 UNIT INVESTMENT TRUST MEMBERS NO. 10-92 RE: SUMMARY OF SEC NO-ACTION AND INTERPRETIVE LETTERS SERIES 53 _____________________________...
