January 29, 1992 TO: INVESTMENT ADVISER MEMBERS NO. 3-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 2-92 RE: POSSIBLE MODIFICATIONS TO INVESTMENT ADVISER REGULATION; SURVEY OF ADVISORY ACTIVITIES AND EXPERIENCE WITH STATE REGULATION ______________________________________________________...
January 28, 1992 TO: PENSION COMMITTEE NO. 7-92 RE: STATE PENSION WITHHOLDING SURVEY __________________________________________________________ The Institute is preparing an updated version of its 1987 survey of state laws concerning withholding on pension and other retirement...
January 28, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 4-92 CALIFORNIA ASSOCIATE INVESTMENT ADVISER MEMBERS RE: INSTITUTE COMMENT LETTER ON PROPOSED CALIFORNIA INVESTMENT ADVISER REGULATIONS __________________________________________________________ As we previously informed you, the...
January 28, 1992 TO: CONTRACTUAL PLANS COMMITTEE NO. 2-92 RE: NASAA COMMITTEE ISSUES REVISED PROPOSED GUIDELINES FOR COMMENT __________________________________________________________ As we previously advised you, the NASAA Investment Company Registration/Trading Practices Committee (...
January 28, 1992 TO: PENSION COMMITTEE NO. 6-92 RE: INSTITUTE SUPPLEMENTARY COMMENTS ON DEPARTMENT OF LABOR PROPOSED REGULATION UNDER ERISA SECTION 404(C) __________________________________________________________ Attached is a copy of supplementary comments submitted by the Institute...
January 27, 1992 TO: TAX MEMBERS NO. 10-92 MEMBERS - ONE PER COMPLEX NO. 5-92 ACCOUNTING/TREASURERS MEMBERS NO. 6-92 CLOSED-END FUND MEMBERS NO. 8-92 UNIT INVESTMENT TRUST MEMBERS NO. 9-92 RE: MARYLAND CLARIFIES TAX-EXEMPT STATUS OF FUND DIVIDENDS ATTRIBUTABLE TO GAINS ON MARYLAND...
January 24, 1992 TO: FEDERAL LEGISLATION MEMBERS NO. 2-92 FEDERAL LEGISLATION COMMITTEE NO. 2-92 RE: REPORT OF THE CHAIRMAN OF THE FEDERAL LEGISLATION COMMITTEE, JANUARY 1992 __________________________________________________________ Attached is a copy of the Report of the Chairman of...
January 24, 1992 TO: FEDERAL LEGISLATION MEMBERS NO. 1-92 FEDERAL LEGISLATION COMMITTEE NO. 1-92 RE: INSTITUTE TESTIFIES ON LEGISLATION TO PROMOTE FAIRNESS IN INTERNATIONAL FINANCIAL MARKETS __________________________________________________________ On January 22, the Institute...
January 24, 1992 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 5-92 RE: MEETING ON SIGNATURE GUARANTEE RULE - JANUARY 31, 1992 __________________________________________________________ By now you should have received (or should soon receive) an ICI memo mailed on Tuesday of this week...
January 24, 1992 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 5-92 DIRECT MARKETING COMMITTEE NO. 4-92 MARKETING POLICY COMMITTEE NO. 5-92 RESEARCH COMMITTEE NO. 3-92 SALES FORCE MARKETING COMMITTEE NO. 4-92 MEMBERS - ONE PER COMPLEX NO. 4-92 CLOSED-END FUND MEMBERS NO. 7-92 INTERNATIONAL...
January 24, 1992 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 4-92 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: NOTICE OF MEETING - MARCH 10, 1992 __________________________________________________________ This is to advise you that there will be a joint meeting of the Accounting/Treasurers...
January 24, 1992 TO: DIRECT MARKETING COMMITTEE NO. 3-92 MARKETING POLICY COMMITTEE NO. 4-92 PUBLIC INFORMATION COMMITTEE NO. 5-92 RESEARCH COMMITTEE NO. 2-92 SALES FORCE MARKETING COMMITTEE NO. 3-92 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 3-92 SMALL FUNDS COMMITTEE NO. 2-92 MEMBERS...
January 23, 1992 TO: STATE LIAISON COMMITTEE NO. 3-92 UNIT INVESTMENT TRUST COMMITTEE NO. 6-92 RE: IOWA ISSUES PROPOSED REGISTRATION RULES __________________________________________________________ The Iowa Securities Bureau recently issued certain proposed rules relating to the...
January 23, 1992 TO: STATE SECURITIES MEMBERS NO. 5-92 UNIT INVESTMENT TRUST MEMBERS NO. 7-92 RE: OHIO AMENDS REGISTRATION RULES __________________________________________________________ As you know, for the past several years, the Institute has been working with the Ohio Securities...
January 23, 1992 TO: BOARD OF GOVERNORS NO. 7-92 INTERNATIONAL COMMITTEE NO. 2-92 SEC RULES COMMITTEE NO. 5-92 RE: INSTITUTE TESTIFIES IN SUPPORT OF H.R. 3503, THE "FAIR TRADE IN FINANCIAL SERVICES ACT OF 1991" __________________________________________________________ The Institute...
January 23, 1992 TO: UNIT INVESTMENT TRUST MEMBERS NO. 6-92 RE: COLORADO ADOPTS MANUAL EXEMPTION RULE __________________________________________________________ As you know, in most states, unit trusts rely on an exemption from registration under the state securities acts for resales...
January 23, 1992 TO: SUBCOMMITTEE ON ADVERTISING NO. 2-92 RE: INSTITUTE COMMENT LETTER ON NASD PROPOSAL TO RESCIND GUIDELINES __________________________________________________________ As we previously informed you, the NASD has proposed to rescind its "Guidelines Regarding...
January 22, 1992 TO: AUDIT COMMITTEE NO. 1-92 RE: FY 1991 Audit Report and Management Letter ______________________________________________________________ Enclosed is the financial report of the independent auditors for fiscal year 1991 ending September 30, 1991. The financial...
January 22, 1992 TO: TAX MEMBERS NO. 8-92 OPERATIONS MEMBERS NO. 3-92 CLOSED-END FUND MEMBERS NO. 5-92 UNIT INVESTMENT TRUST MEMBERS NO. 4-92 PENSION MEMBERS NO. 1-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 4-92 ACCOUNTING/TREASURERS COMMITTEE NO. 3-92 RE: IRS REVENUE PROCEDURE SHORTENS...
January 22, 1992 TO: CLOSED-END FUND MEMBERS NO. 6-92 OPERATIONS MEMBERS NO. 4-92 SEC RULES MEMBERS NO. 3-92 UNIT INVESTMENT TRUST MEMBERS NO. 5-92 ACCOUNTING/TREASURERS MEMBERS NO. 5-92 RE: SEC STAFF ISSUES THIRD GENERIC COMMENT LETTER ________________________________________________...
January 21, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 3-92 RE: NOTICE OF MEETING - FEBRUARY 27, 1992 __________________________________________________________ This is to advise you that there will be a meeting of the Broker/Dealer Advisory Committee starting at 9:30 a.m. on...
January 21, 1992 TO: STATE SECURITIES MEMBERS NO. 4-92 RE: ARIZONA UNDERTAKING FOR FUNDS WITH NON-FUNDAMENTAL OBJECTIVE __________________________________________________________ As we previously advised you, the Arizona Securities Division has issued comments to funds with non...
January 21, 1992 TO: PUBLIC INFORMATION COMMITTEE NO. 4-92 RE: PRINT MEDIA CONTACT LIST __________________________________________________________ Enclosed is the latest update of our print news media contact list. This is not our complete news media mailing list, however, it is in...
January 20, 1992 TO: BOARD OF GOVERNORS NO. 6-92 MEMBERS - ONE PER COMPLEX NO. 3-92 DIRECT MARKETING COMMITTEE NO. 2-92 OPERATIONS COMMITTEE NO. 2-92 PENSION COMMITTEE NO. 5-92 PUBLIC INFORMATION COMMITTEE NO. 3-92 RESEARCH COMMITTEE NO. 1-92 SALES FORCE MARKETING COMMITTEE NO. 2-92...
January 20, 1992 TO: OPERATIONS COMMITTEE NO. 1-92 SEC RULES COMMITTEE NO. 4-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 3-92 UNIT INVESTMENT TRUST COMMITTEE NO. 5-92 RE: INSTITUTE LETTER TO SEC STAFF ON SHAREHOLDER CONFIRMATION DELIVERY REQUIREMENTS UNDER RULE 10b-10 ___________________...
