October 17, 1991 TO: TAX MEMBERS NO. 44-91 UNIT INVESTMENT TRUST MEMBERS NO. 50-91 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 25-91 RE: DISTRICT OF COLUMBIA PROPOSED REGULATIONS ON EFFECTIVE DATE OF TAX ON NON-DISTRICT OF COLUMBIA TAX-EXEMPT BONDS _____________________________________...
October 17, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 54-91 RE: AVAILABILITY OF STATEMENT OF ADDITIONAL INFORMATION __________________________________________________________ ***THIS MEMO REPLACES THE ORIGINAL MEMO #47-91 WHICH WAS LOST DUE TO COMPUTER FAILURE In recent months, certain...
October 17, 1991 TO: SEC RULES MEMBERS NO. 50-91 RE: COURT HOLDS SHAREHOLDER OF SERIES FUND CAN BRING SECTION 36(b) SUIT WITH RESPECT TO DIFFERENT SERIES __________________________________________________________ The U.S. District Court for the Western District of Missouri has held...
October 16, 1991 TO: FEDERAL LEGISLATION MEMBERS NO. 17-91 FEDERAL LEGISLATION COMMITTEE NO. 18-91 RE: REPORT OF THE CHAIRMAN OF THE FEDERAL LEGISLATION COMMITTEE, OCTOBER 1991 __________________________________________________________ Attached is a copy of the Report of the Chairman...
October 16, 1991 TO: INVESTMENT ADVISER MEMBERS NO. 46-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 48-91 RE: IDAHO FINALIZES INVESTMENT ADVISER REPRESENTATIVE RULES __________________________________________________________ Attached is a copy of final rules adopted by the Idaho...
October 16, 1991 TO: OPERATIONS COMMITTEE NO. 31-91 RE: NOTICE OF MEETING - NOVEMBER 12, 1991 __________________________________________________________ This is to advise you that there will be a meeting of the Operations Committee starting at 8:30 a.m. on November 12, 1991 at the...
October 16, 1991 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 35-91 RE: PENNSYLVANIA SALES TAX ON COMPUTER SERVICES __________________________________________________________ Pennsylvania recently enacted the attached legislation, effective October 1, 1991, which expands the state sales...
October 15, 1991 TO: DIRECT MARKETING COMMITTEE NO. 35-91 MARKETING COMMITTEE NO. 40-91 PUBLIC INFORMATION COMMITTEE NO. 33-91 RESEARCH COMMITTEE NO. 23-91 SALES FORCE MARKETING COMMITTEE NO. 34-91 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 30-91 INDUSTRY STATISTICS COMMITTEE NO. 10-91...
October 15, 1991 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 49-91 RE: NOTICE OF COMMITTEE MEETING - DECEMBER 5, 1991 __________________________________________________________ This is to advise you that there will be a meeting of the Transfer Agent Advisory Committee at 9:30 a.m. on...
October 11, 1991 TO: PENSION COMMITTEE NO. 29-91 RE: PRIVATE RECEPTION FOR SECRETARY OF LABOR LYNN MARTIN __________________________________________________________ We are pleased to inform you of a special private reception for Secretary of Labor Lynn Martin during the Institute's...
October 11, 1991 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 34-91 RE: DRAFT AGENDA FOR OCTOBER 16 MEETING __________________________________________________________ Attached is a draft agenda for the next Unit Investment Trust Committee meeting scheduled for 10:00 am, October 16th in the...
October 11, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 51-91 RE: INSTITUTE COMMENT LETTER ON PROPOSED AMENDMENTS TO FORM BD WHICH ARE ANTICIPATED FOR FORM ADV __________________________________________________________ As we previously informed you, the SEC anticipates proposing...
October 11, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 52-91 RE: CONFERENCE ON CREDITORS' RIGHTS ISSUES FOR INVESTMENT COMPANIES - REMINDER __________________________________________________________ As we previously informed you, the Institute is sponsoring a special one-day conference on...
October 11, 1991 TO: SEC RULES COMMITTEE NO. 62-91 INVESTMENT ADVISERS COMMITTEE NO. 52-91 RE: MEETING TO DISCUSS SEC LARGE TRADER REPORTING PROPOSAL __________________________________________________________ The Institute has scheduled a meeting for October 31, 1991 to discuss the...
October 10, 1991 TO: BOARD OF GOVERNORS NO. 78-91 RE: JANUARY, 1992 BOARD OF GOVERNORS MEETING __________________________________________________________ The Institute's Board of Governors Winter meeting will be held January 28-30, 1992 at the Four Seasons Resort Nevis, West Indies...
October 10, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 51-91 CLOSED - END MEMBERS - ONE PER COMPLEX UNIT INVESTMENT TRUST SPONSOR MEMBERS - VOTING OFFICER RE: APPLICATION OF SEC FEE INCREASE __________________________________________________________ The SEC announced today that it will...
October 10, 1991 TO: INTERNATIONAL MEMBERS NO. 7-91 RE: MARKETING RULES APPLICABLE TO NEW U.K. INVESTMENT PRODUCTS __________________________________________________________ Attached is a letter from Norton Rose describing, among other things, certain U.K. regulatory requirements...
October 10, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 49-91 INTERNATIONAL MEMBERS NO. 6-91 RE: INSTITUTE PRESENTATION AT IOSCO CONFERENCE __________________________________________________________ Attached are the text of an Institute presentation and paper, which was the subject of a...
October 10, 1991 TO: PUBLIC INFORMATION COMMITTEE NO. 32-91 RE: Updated Media Contact Lists __________________________________________________________ Here are the latest updates of our Print and TV/Radio news media contact lists. These are not meant to be comprehensive mailing lists...
October 10, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 50-91 STATE SECURITIES MEMBERS NO. 47-91 RE: 1991 SAN ANTONIO BLUE SKY COMPLIANCE WORKSHOP __________________________________________________________ As we previously advised you, the Institute will be holding a series Blue Sky...
October 9, 1991 TO: CONTRACTUAL PLANS COMMITTEE NO. 17-91 RE: INSTITUTE SUBMITS LETTER TO NASAA COMMITTEE REGARDING PERSISTENCY PROPOSAL __________________________________________________________ As we previously informed you, the Institute was informally advised that the NASAA...
October 8, 1991 TO: BROKER/DEALER ASSOCIATE MEMBERS NO. 5-91 RE: GROUP EMPLOYEE BENEFIT INSURANCE PROGRAM __________________________________________________________ We are now entering our fourth year of the ICI sponsored Benefit Source Trust, an employee benefit program for both...
October 8, 1991 TO: TAX COMMITTEE NO. 32-91 PENNSYLVANIA MEMBERS RE: PENNSYLVANIA SALES TAX ON COMPUTER SERVICES __________________________________________________________ Pennsylvania recently enacted the attached legislation, effective October 1, 1991, which expands the state sales...
October 7, 1991 TO: STATE SECURITIES MEMBERS NO. 45-91 RE: WASHINGTON DISCLOSURE FOR HIGH YIELD BOND FUNDS __________________________________________________________ The Institute was recently advised that the Washington Securities Division is requiring certain investment companies...
- 1 - October 7, 1991 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 48-91 RE: SIA AND IRS REQUESTS FOR INFORMATION __________________________________________________________ Recently, the Institute received two requests for information, one from the Securities Industry Association ("SIA")...
