September 27, 1991 TO: BOARD OF GOVERNORS NO. 75-91 PENSION COMMITTEE NO. 27-91 RE: INSTITUTE TESTIFIES IN SUPPORT OF EMPLOYEE BENEFITS SIMPLIFICATION ACT __________________________________________________________ The Institute testified today before the Senate Finance Committee...
September 26, 1991 TO: COMPLIANCE COMMITTEE NO. 6-91 RE: NOTICE OF MEETING; NOVEMBER 7, 1991 __________________________________________________________ The next meeting for the Compliance Committee has been scheduled for November 7, 1991 at 10:00 a.m. The meeting will be held in the...
September 26, 1991 TO: CLOSED-END FUND COMMITTEE NO. 26-91 RE: DRAFT AGENDA FOR OCTOBER 17 MEETING __________________________________________________________ Attached is a draft agenda for the Closed-End Fund Committee meeting scheduled for October 17 at 10:00 a.m. The meeting will be...
September 26, 1991 TO: BOARD OF GOVERNORS NO. 76-91 STATE SECURITIES MEMBERS NO. 43-91 UNIT INVESTMENT TRUST MEMBERS NO. 44-91 RE: KANSAS ADOPTS BLUECHIP EXEMPTION __________________________________________________________ The Institute is pleased to inform you that as a result of the...
September 26, 1991 TO: STATE LIAISON COMMITTEE NO. 18-91 RE: DRAFT AGENDA FOR OCTOBER 15 MEETING __________________________________________________________ Attached is a draft agenda for the State Liaison Committee meeting scheduled for October 15, 1991. The meeting will be held at...
September 26, 1991 TO: PENSION MEMBERS NO. 34-91 INVESTMENT ADVISER MEMBERS NO. 41-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 45-91 RE: IRS DISQUALIFIES PLAN FOR NOT PERMITTING PARTICIPANT- DIRECTED INVESTMENTS BY RANK AND FILE EMPLOYEES ______________________________________________...
September 26, 1991 TO: BOARD OF GOVERNORS NO. 74-91 RE: FY 1991-1992 BUDGET __________________________________________________________ The budget proposal for FY 1991-1992 reflects the following factors: o In spite of pessimistic predictions prevalent this time last year, total assets...
September 25, 1991 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 31-91 RE: SEC PROPOSAL TO ESTABLISH AN ACTIVTY-BASED LARGE TRADER REPORTING SYSTEM __________________________________________________________ The SEC has published for comment proposed Rule 13h-1 under the Securities Exchange...
September 25, 1991 TO: TAX MEMBERS NO. 41-91 INTERNATIONAL MEMBERS NO. 5-91 ACCOUNTING/TREASURERS MEMBERS NO. 27-91 RE: BILL INTRODUCED TO ENHANCE INTERNATIONAL COMPETITIVENESS OF U.S. MUTUAL FUNDS __________________________________________________________ Yesterday, Senator Max...
September 25, 1991 TO: CLOSED-END FUND COMMITTEE NO. 25-91 RE: INSTITUTE LETTER TO SEC STAFF CONCERNING THE FILING REQUIREMENTS OF AFFILIATED PERSONS OF A CLOSED-END FUND'S ADVISER UNDER SECTION 30(f) OF THE 1940 ACT __________________________________________________________ The...
-1- September 24, 1991 TO: BOARD OF GOVERNORS NO. 73-91 MEMBERS - ONE PER COMPLEX NO. 42-91 OPERATIONS COMMITTEE NO. 29-91 SEC RULES COMMITTEE NO. 58-91 RE: SAFETY OF CASH HELD BY CUSTODIAN BANKS __________________________________________________________ The Institute has been...
September 24, 1991 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 44-91 BROKER/DEALER ASSOCIATE MEMBERS NO. 4-91 RE: New Mailing List Service - International Issues --------------------------------------------------------- The Institute is pleased to announce a new mailing interest...
September 24, 1991 TO: SEC RULES COMMITTEE NO. 59-91 RE: DRAFT AGENDA FOR OCTOBER 8 MEETING __________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for October 8, 1991. The meeting will be held at The Madison...
September 24, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 47-91 RE: DRAFT AGENDA FOR OCTOBER 8 MEETING __________________________________________________________ Attached is a draft agenda for the Investment Advisers Committee meeting scheduled for October 8, 1991. The meeting will be...
September 24, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 48-91 RE: INSTITUTE COMMENTS ON PROPOSED BRANCH OFFICE RULE __________________________________________________________ Attached is a copy of the Institute's testimony regarding the Wisconsin Securities Commissioner's proposed...
September 24, 1991 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 20-91 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: NOTICE OF MEETING - NOVEMBER 19, 1991 __________________________________________________________ This is to advise you that there will be a meeting of the joint Accounting...
September 24, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 43-91 RE: New Member Service - International Issues Mailing List --------------------------------------------------------- The Institute is pleased to announce a new mailing interest category - International Issues. The new mailing...
1 */ No change has been made to Temp. Treas. Reg. section 35a.3406-1(f)(1), which provides that a payor shall treat the receipt of two or more notices in a calendar year with respect to a payee as the receipt of one notice for purposes of this rule. September 24, 1991 TO: TAX MEMBERS...
September 24, 1991 TO: SEC RULES COMMITTEE NO. 60-91 INVESTMENT ISSUES COMMITTEE NO. 16-91 INVESTMENT ADVISERS COMMITTEE NO. 49-91 CLOSED-END FUND COMMITTEE NO. 24-91 RE: INSTITUTE COMMENT LETTER ON PROXY REFORM __________________________________________________________ Attached is a...
September 23, 1991 TO: TAX MEMBERS NO. 39-91 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 24-91 RE: NEW CONNECTICUT INCOME TAX AFFECTS TREATMENT OF PUERTO RICAN OBLIGATION INTEREST __________________________________________________________ As we previously informed you, Connecticut...
September 20, 1991 TO: STATE SECURITIES MEMBERS NO. 42-91 UNIT INVESTMENT TRUST MEMBERS NO. 42-91 INVESTMENT ADVISER MEMBERS NO. 40-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 43-91 BLUE SKY GUIDE RECIPIENTS RE: PUERTO RICO AMENDS STATUTE, INCREASING FEES _____________________________...
September 20, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 46-91 RE: INSTITUTE COMMENTS ON INDIANA AND OREGON RULE PROPOSALS __________________________________________________________ The Institute commented on recent rule proposals announced by the Indiana and Oregon securities...
September 23, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 41-91 RE: Industry Human Resources/Training Directors Directory __________________________________________________________ On August 22 the Institute held a meeting of fund industry human resources and training directors. Attendees...
September 20, 1991 TO: BOARD OF GOVERNORS NO. 72-91 RE: SCHEDULE OF EVENTS IN CONJUNCTION WITH THE OCTOBER 3, 1991 BOARD MEETING __________________________________________________________ The following is a schedule of events surrounding the October 3, 1991 meeting of the Board of...
