September 20, 1991 TO: DIRECT MARKETING COMMITTEE NO. 32-91 MARKETING COMMITTEE NO. 37-91 PUBLIC INFORMATION COMMITTEE NO. 31-91 SALES FORCE MARKETING COMMITTEE NO. 32-91 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 28-91 MEMBERS INTERESTED IN PUBLIC INFORMATION NO. 15-91 RESEARCH...
September 19, 1991 TO: INVESTMENT ISSUES COMMITTEE NO. 15-91 RE: NOTICE OF MEETING - THURSDAY, OCTOBER 3, 1991 @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ A meeting of the Investment Issues Committee has been scheduled for Thursday, October 3, 1991, commencing after the...
September 19, 1991 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 42-91 INVESTMENT ADVISER MEMBERS NO. 39-91 STATE SECURITIES MEMBERS NO. 41-91 UNIT INVESTMENT TRUST MEMBERS NO. 41-91 BLUE SKY GUIDE RECIPIENTS RE: PUERTO RICO AMENDS STATUTE, INCREASING FEES _____________________________...
September 19, 1991 TO: PENSION COMMITTEE NO. 26-91 RE: IRS ISSUES FINAL NONDISCRIMINATION REGULATIONS __________________________________________________________ Attached are the final regulations regarding non- discrimination requirements for qualified retirement plans. Also attached...
September 18, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 45-91 RE: LABOR HEARING ON PROPOSED FOREIGN EXCHANGE EXEMPTION __________________________________________________________ As you recall, a proposed ERISA prohibited transaction class exemption relating to certain employee...
September 18, 1991 TO: AUDIT COMMITTEE NO. 2-91 RE: Meeting of Audit Committee __________________________________________________________ A meeting of the Institute's Audit Committee has been scheduled for 2:00 pm on Wednesday, October 2. This will be the annual meeting with the...
September 18, 1991 TO: SEC RULES MEMBERS NO. 47-91 UNIT INVESTMENT TRUST MEMBERS NO. 40-91 RE: DISTRICT COURT AND SEC ORDERS ISSUED AGAINST THE INVESTMENT ADVISER TO A FUND THAT INVESTED IN MUNICIPAL LEASE SECURITIES __________________________________________________________ As we...
REVISED September 24, 1991 TO: BOARD OF GOVERNORS NO. 71-91 TAX MEMBERS NO. 38-91 OPERATIONS MEMBERS NO. 22-91 CLOSED-END FUND MEMBERS NO. 40-91 UNIT INVESTMENT TRUST MEMBERS NO. 39-91 ACCOUNTING/TREASURERS MEMBERS NO. 26-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 42-91 RE: INSTITUTE...
September 16, 1991 TO: SEC RULES COMMITTEE NO. 56-91 RE: "FINANCIAL FRAUD DETECTION AND DISCLOSURE ACT"; ACCOUNTING PROVISIONS IN HOUSE ENERGY AND COMMERCE COMMITTEE FINANCIAL SERVICES RESTRUCTURING BILL __________________________________________________________ On August 1, 1991...
September 13, 1991 TO: TAX COMMITTEE NO. 30-91 MONEY MARKET FUNDS AD HOC COMMITTEE NO. 23-91 RE: OCTOBER 9, 1991 MEETING ON SYNTHETIC, SHORT-TERM TAX-EXEMPT OBLIGATIONS AND SUBCHAPTER M ISSUES __________________________________________________________ The Institute will host a...
September 13, 1991 TO: CONTRACTUAL PLANS COMMITTEE NO. 15-91 RE: COMMENTS REQUESTED ON DRAFT LETTER TO NASAA COMMITTEE REGARDING PERSISTENCY PROPOSAL __________________________________________________________ As we previously informed you, the Institute has been advised that the NASAA...
September 13, 1991 TO: CONTRACTUAL PLANS COMMITTEE NO. 14-91 RE: MONTANA ISSUES CONTRACTUAL PLAN POLICY STATEMENT __________________________________________________________ The Montana Securities Department has issued the attached Policy Statement, effective August 12, 1991, regarding...
September 13, 1991 TO: SEC RULES MEMBERS NO. 46-91 CLOSED-END FUND MEMBERS NO. 39-91 UNIT INVESTMENT TRUST MEMBERS NO. 38-91 ACCOUNTING/TREASURERS MEMBERS NO. 25-91 RE: CONFERENCE ON CREDITORS' RIGHTS ISSUES FOR INVESTMENT COMPANIES - REMINDER _________________________________________...
September 13, 1991 TO: INVESTMENT ISSUES COMMITTEE NO. 14-91 RE: COMMISSIONER ROBERTS TALK ON TRANSPARENCY IN EQUITY AND DEBT MARKETS __________________________________________________________ Attached for your information is a copy of remarks that were recently given by SEC...
September 13, 1991 TO: INTERNATIONAL COMMITTEE NO. 23-91 RE: ADDITIONAL INFORMATION ON NEW U.K. REGULATIONS FOR COLLECTIVE INVESTMENT SCHEMES __________________________________________________________ The attached newsletter prepared by Norton Rose describes the new U.K. regulations...
September 12, 1991 TO: BOARD OF GOVERNORS NO. 70-91 TAX MEMBERS NO. 37-91 ACCOUNTING/TREASURERS MEMBERS NO. 24-91 RE: INSTITUTE TESTIMONY BEFORE SENATE FINANCE SUBCOMMITTEE ON REPEAL OF THE 30 PERCENT TEST __________________________________________________________ The Institute...
September 12, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 44-91 RE: SEC PROPOSAL TO ESTABLISH AN ACTIVITY-BASED LARGE TRADER REPORTING SYSTEM __________________________________________________________ The SEC has published for comment proposed Rule 13h-1 under the Securities Exchange...
September 12, 1991 TO: BOARD OF GOVERNORS NO. 69-91 INTERNATIONAL MEMBERS NO. 4-91 RE: IOSCO CONFERENCE __________________________________________________________ Attached is a brochure describing the upcoming conference of the International Organization of Securities Commissions...
September 12, 1991 TO: TAX COMMITTEE NO. 29-91 OPERATIONS COMMITTEE NO. 27-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 41-91 RE: INSTITUTE TESTIFIES ON INFORMATION REPORTING PENALTY REGULATIONS AND THE REASONABLE CAUSE WAIVER __________________________________________________________ As...
September 11, 1991 TO: INVESTMENT ADVISER MEMBERS NO. 38-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 41-91 RE: INDIANA PROPOSED NEW ADVISER REGULATIONS __________________________________________________________ The Indiana Securities Commission recently released the attached proposed...
September 11, 1991 TO: SMALL FUNDS MEMBERS NO. 11-91 RE: SMALL FUNDS CONFERENCE - OCTOBER 30-NOVEMBER 1, 1991 - SECOND NOTICE - __________________________________________________________ You are cordially invited to attend the annual Small Funds Conference which is scheduled for...
September 11, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 43-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 40-91 RE: PROPOSED AMENDMENTS TO FORM BD WHICH ARE ANTICIPATED FOR FORM ADV __________________________________________________________ The SEC has proposed amendments to Form BD...
September 11, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 41-91 COLORADO INVESTMENT ADVISERS COLORADO INVESTMENT ADVISER ASSOCIATE MEMBERS RE: INSTITUTE COMMENTS ON PROPOSED COLORADO ADVISER STATUTE __________________________________________________________ As we previously informed...
