November 21, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 61-91 OPERATIONS MEMBERS NO. 31-91 SEC RULES MEMBERS NO. 57-91 TAX MEMBERS NO. 52-91 ACCOUNTING/TREASURERS COMMITTEE NO. 24-91 RE: 1992 PORTFOLIO COMPLIANCE WORKSHOPS __________________________________________________________ The...
November 21, 1991 TO: TAX MEMBERS NO. 51-91 OPERATIONS MEMBERS NO. 30-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 55-91 RE: IRS INFORMATION REPORTING PROGRAM BULLETIN BOARD SYSTEM AND HOTLINE __________________________________________________________ A special feature of this year's...
November 20, 1991 TO: OPERATIONS COMMITTEE NO. 35-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 53-91 BROKER/DEALER ADVISORY COMMITTEE NO. 39-91 RE: SECURITIES TRANSFER ASSOCIATION TRANSFER ON DEATH (TOD) FORM __________________________________________________________ The Securities...
November 20, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 60-91 CLOSED-END FUND MEMBERS NO. 49-91 TAX MEMBERS NO. 50-91 UNIT INVESTMENT TRUST MEMBERS NO. 56-91 ACCOUNTING/TREASURERS MEMBERS NO. 31-91 RE: 1991 SURVEYS OF STATE INCOME TAXATION _________________________________________________...
/November 20, 1991 TO: SEC RULES MEMBERS NO. 55-91 SUBCOMMITTEE ON ADVERTISING NO. 5-91 YIELD ENHANCEMENT TASK FORCE RE: NASD NOTICE ON MARKETING EFFORTS COMPARING BOND FUNDS AND CERTIFICATES OF DEPOSIT __________________________________________________________ The NASD recently...
November 20, 1991 TO: INVESTMENT ADVISER MEMBERS NO. 52-91 SEC RULES MEMBERS NO. 56-91 INTERNATIONAL MEMBERS NO. 10-91 RE: INVESTMENT IN U.K. SECURITIES: RESTRICTIONS AND REPORTING REQUIREMENTS UNDER U.K. LAW __________________________________________________________ Attached for your...
November 20, 1991 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 54-91 RE: MEETING AGENDA -- DECEMBER 5, 1991 __________________________________________________________ Attached is the agenda for the next Transfer Agent Advisory Committee meeting. The cocktail reception and dinner will be...
November 18, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 59-91 SEC RULES MEMBERS NO. 54-91 ACCOUNTING/TREASURERS COMMITTEE NO. 23-91 UNIT INVESTMENT TRUST MEMBERS NO. 55-91 OPERATIONS MEMBERS NO. 29-91 INVESTMENT ADVISER MEMBERS NO. 51-91 CLOSED-END FUND MEMBERS NO. 48-91 INSTITUTIONAL...
November 18, 1991 TO: SUBCOMMITTEE ON ADVERTISING NO. 4-91 RE: NASD RESPONSE TO ICI PROPOSAL ON ADVERTISING REFORM __________________________________________________________ The Institute has received the attached response to its submission to the NASD on reform of the advertising...
November 14, 1991 TO: SUBCOMMITTEE ON ADVERTISING NO. 3-91 RE: MEETING TO DISCUSS DISCLOSURE OF EFFECTS OF INTEREST RATE CHANGES ON SHARE PRICES __________________________________________________________ As you may know, the Institute has formed a task force to examine whether there...
November 13, 1991 TO: TAX MEMBERS NO. 49-91 OPERATIONS MEMBERS NO. 28-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 51-91 RE: IRS REVENUE PROCEDURE FOR MAINTAINING RECORDS PRODUCED ON AUTOMATIC DATA PROCESSING SYSTEM __________________________________________________________ Section 6001...
November 13, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 57-91 UTAH INVESTMENT ADVISER ASSOCIATE MEMBERS RE: INSTITUTE COMMENT LETTER TO UTAH REGARDING SCOPE OF INVESTMENT ADVISER REGULATION __________________________________________________________ Attached is a copy of the Institute...
- 1 - November 13, 1991 TO: INVESTMENT ADVISER MEMBERS NO. 50-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 51-91 RE: ALABAMA REVISES INVESTMENT ADVISER RULES __________________________________________________________ Attached is a copy of Rules 830-X-3-.06 and 830-X-3-.08, as revised...
November 13, 1991 TO: INVESTMENT ADVISER MEMBERS NO. 49-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 50-91 RE: UTAH REVISES ADVISER LICENSING RULES __________________________________________________________ Attached is a copy of the provisions of the revised Utah Administrative Code...
November 13, 1991 TO: TAX COMMITTEE NO. 35-91 OPERATIONS COMMITTEE NO. 34-91 CLOSED-END FUND COMMITTEE NO. 30-91 UNIT INVESTMENT TRUST COMMITTEE NO. 38-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 52-91 RE: INSTITUTE REQUESTS DELAY IN IMPOSITION OF BACKUP WITHHOLDING ON ACCOUNTS RECEIVING...
November 12, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 56-91 INTERNATIONAL COMMITTEE NO. 27-91 RE: PROPOSED EC DIRECTIVE ON INVESTMENT AND MANAGEMENT OF PENSION FUND ASSETS __________________________________________________________ The Commission of the European Communities recently...
November 12, 1991 TO: INTERNATIONAL MEMBERS NO. 9-91 RE: NORTON ROSE REPORT ON U.K. INVESTMENT TRUSTS __________________________________________________________ The attached letter from Norton Rose describes the structure and regulation of U.K. investment trusts. Investment trusts...
November 12, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 55-91 RE: INSTITUTE TESTIMONY ON CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION PROPOSALS __________________________________________________________ As we previously informed you, the California Fair Political Practices...
November 8, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 58-91 PENSION MEMBERS NO. 37-91 RE: BENTSEN-ROTH REVISED IRA BILL INTRODUCED __________________________________________________________ Attached is a copy of S. 1921, the Tax Fairness and Savings Incentive Act of 1991, which was...
November 8, 1991 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 22-91 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: MEETING AGENDA - NOVEMBER 19, 1991 __________________________________________________________ The agenda for the meeting of the Accounting/Treasurers Committee and the Independent...
November 8, 1991 TO: SEC RULES COMMITTEE NO. 64-91 RE: INSTITUTE COMMENT LETTER SUPPORTS PROPOSED MUTUAL FUND PROXY FORWARDING REQUIREMENTS __________________________________________________________ As reported earlier, the SEC has proposed amendments to certain shareholder...
November 8, 1991 TO: MONEY MARKET FUNDS AD HOC COMMITTEE NO. 28-91 RE: SUMMARY OF NOVEMBER 6 MEETING ON INVERSE FLOATERS AND DRAFT LETTER ON TECHNICAL ISSUES UNDER RULE 2a-7 __________________________________________________________ As you know, the ad hoc committee met on Wednesday...
November 8, 1991 TO: SEC RULES COMMITTEE NO. 65-91 UNIT INVESTMENT TRUST COMMITTEE NO. 37-91 RE: INSTITUTE COMMENT LETTER ON PROPOSED TEMPORARY RISK ASSESSMENT AND REPORTING REQUIREMENTS FOR BROKER-DEALERS __________________________________________________________ As previously...
November 8, 1991 TO: MARKETING COMMITTEE NO. 43-91 PUBLIC INFORMATION COMMITTEE NO. 36-91 RE: Meetings With the News Media __________________________________________________________ As you know, Matt Fink became President of the Institute in early October, following the retirement of...
