October 7, 1991 TO: STATE SECURITIES MEMBERS NO. 46-91 RE: DELAWARE TO RECONSIDER ADOPTION OF PROPOSED MUTUAL FUND RENEWAL FORM __________________________________________________________ Based upon the Institute's efforts, the Delaware Securities Division is reconsidering adoption of...
October 4, 1991 TO: STATE SECURITIES MEMBERS NO. 44-91 UNIT INVESTMENT TRUST MEMBERS NO. 48-91 RE: REVISED KANSAS FORM TO CLAIM BLUE CHIP EXEMPTION __________________________________________________________ As we previously informed you, Kansas will become the eleventh state to adopt...
October 4, 1991 TO: INVESTMENT ISSUES COMMITTEE NO. 17-91 RE: STUDY OF GOVERNMENT DEBT MARKET @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ At its meeting held on October 3, 1991, the Investment Issues Committee directed ICI staff to develop an industry position regarding...
October 4, 1991 TO: PENSION MEMBERS NO. 35-91 OPERATIONS MEMBERS NO. 25-91 INVESTMENT ADVISER MEMBERS NO. 45-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 47-91 TAX MEMBERS NO. 43-91 ACCOUNTING/TREASURERS MEMBERS NO. 28-91 MEMBERS INTERESTED IN PUBLIC INFORMATION NO. 16-91 MEMBERS - ONE...
October 4, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 48-91 CLOSED-END MEMBERS - ONE PER COMPLEX UNIT INVESTMENT TRUST SPONSOR MEMBERS - VOTING OFFICER RE: CONGRESS AGREES ON SEC REGISTRATION FEE INCREASE __________________________________________________________ On October 3, both Houses...
October 4, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 33-91 RE: NOTICE OF MEETING - NOVEMBER 12, 1991 __________________________________________________________ This is to advise you that there will be a meeting of the Broker/Dealer Advisory Committee starting at 2:00 p.m. on...
October 4, 1991 TO: TAX MEMBERS NO. 42-91 OPERATIONS MEMBERS NO. 24-91 UNIT INVESTMENT TRUST MEMBERS NO. 47-91 CLOSED-END FUND MEMBERS NO. 43-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 46-91 RE: IRS REVENUE PROCEDURE ON FURNISHING CERTAIN QUARTERLY RETURN INFORMATION ON MAGNETIC TAPE __...
October 3, 1991 TO: STATE LIAISON COMMITTEE NO. 20-91 UNIT INVESTMENT TRUST COMMITTEE NO. 33-91 RE: INSTITUTE RESPONDS TO VERMONT CONCERNS REGARDING BLUE CHIP EXEMPTION __________________________________________________________ As we previously informed you, earlier this year the...
October 3, 1991 TO: MARKETING COMMITTEE NO. 38-91 RE: MINUTES OF DIRECT MARKETING COMMITTEE MEETING __________________________________________________________ For your information, here are the minutes of the Direct Marketing Committee meeting held September 12 in Washington, DC...
October 3, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 32-91 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING AUGUST, 1991 __________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending August, 1991. We will...
October 3, 1991 TO: STATE LIAISON COMMITTEE NO. 19-91 UNIT INVESTMENT TRUST COMMITTEE NO. 32-91 RE: INSTITUTE MEETS WITH NEW HAMPSHIRE AND TENNESSEE TO SOLICIT SUPPORT FOR ADOPTION OF THE BLUE CHIP EXEMPTION __________________________________________________________ As you know, the...
October 2, 1991 TO: DIRECT MARKETING COMMITTEE NO. 33-91 RE: MINUTES OF SEPTEMBER 12 MEETING __________________________________________________________ For your information, here are the minutes of the meeting of the Direct Marketing Committee held on Sept. 12 in Washington, DC. As we...
October 2, 1991 TO: SEC RULES COMMITTEE NO. 61-91 1990's AD HOC COMMITTEE RE: INSTITUTE LETTER TO NASD ON ADVERTISING RULES __________________________________________________________ Attached is a copy of a letter recently submitted by the Institute to the Investment Companies...
October 1, 1991 TO: UNIT INVESTMENT TRUST MEMBERS NO. 46-91 RE: NEW YORK LEGAL INVESTMENT LEGISLATION PASSES __________________________________________________________ The Institute is pleased to inform you that legislation expanding a fiduciary's authority to invest in investment...
September 30, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 46-91 CLOSED-END FUND MEMBERS NO. 42-91 INVESTMENT ADVISER MEMBERS NO. 44-91 SEC RULES MEMBERS NO. 48-91 UNIT INVESTMENT TRUST MEMBERS NO. 45-91 RE: SUMMARY OF SEC NO-ACTION AND INTERPRETIVE LETTERS - SERIES 52 _____________________...
September 30, 1991 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 46-91 INVESTMENT ADVISER MEMBERS NO. 43-91 RE: DELAWARE AMENDS SECURITIES ACT __________________________________________________________ Legislation was passed recently which amended the Delaware Securities Act with...
September 27, 1991 TO: CONTRACTUAL PLANS COMMITTEE NO. 16-91 RE: REVISED DRAFT LETTER TO NASAA COMMITTEE REGARDING PERSISTENCY PROPOSAL __________________________________________________________ Pursuant to the conference call of the Committee held this date, attached is a copy of the...
September 27, 1991 TO: INVESTMENT ADVISER MEMBERS NO. 42-91 MARYLAND INVESTMENT ADVISER ASSOCIATE MEMBERS RE: MARYLAND ISSUES EMERGENCY AND PROPOSED INVESTMENT ADVISER REGULATIONS __________________________________________________________ The Maryland Securities Division has published...
September 27, 1991 TO: PENSION COMMITTEE NO. 28-91 RE: PENSION COMMITTEE MEETING PRELIMINARY AGENDA __________________________________________________________ Attached is a copy of the preliminary agenda for the Pension Committee Meeting on October 10, 1991. W. Richard Mason Assistant...
September 27, 1991 TO: BOARD OF GOVERNORS NO. 77-91 RE: BILL INTRODUCED TO ENHANCE INTERNATIONAL COMPETITIVENESS OF U.S. MUTUAL FUNDS __________________________________________________________ I am pleased to inform you that Senator Max Baucus, Chairman of the Senate Finance...
- 1 - September 27, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 45-91 OPERATIONS COMMITTEE NO. 30-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 45-91 SMALL FUNDS MEMBERS NO. 12-91 RE: 1991 ICI/C&L MUTUAL FUNDS TRANSFER AGENT FEE SURVEY __________________________________________________________...
September 27, 1991 TO: TAX COMMITTEE NO. 31-91 RE: PRELIMINARY AGENDA FOR TAX COMMITTEE MEETING -- THURSDAY, OCTOBER 10, 1991 __________________________________________________________ Attached is a copy of the preliminary agenda for the Tax Committee Meeting, on Thursday, October 10...
September 26, 1991 TO: AUDIT COMMITTEE NO. 3-91 RE: Meeting, October 2, 1991 __________________________________________________________ Enclosed is the following material pertaining to the meeting of the Audit Committee on October 2 at the Institute office. o Agenda o Fiscal Year 1990...
September 26, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 44-91 RE: New Member Service - International Issues Mailing List __________________________________________________________ The Institute is pleased to announce a new mailing interest category - International Issues. The new mailing...
