September 11, 1991 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 40-91 RE: MEETING AGENDA - SEPTEMBER 19, 1991 __________________________________________________________ Attached is the agenda for the Transfer Agent Advisory Committee meeting starting at 9:30 a.m. on Thursday, September...
September 11, 1991 TO: PENSION MEMBERS NO. 33-91 RE: INSTITUTE TESTIFIES BEFORE ERISA ADVISORY COUNCIL __________________________________________________________ The Institute presented testimony today before the ERISA Advisory Council Work Group on Small Business Retirement Plans...
September 11, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 30-91 RE: AGENDA AND MINUTES __________________________________________________________ The agenda for the September 24-25, 1991 meeting is enclosed along with the minutes of the previous meeting and an attachment to the...
September 11, 1991 TO: BOARD OF GOVERNORS NO. 68-91 RE: HOUSE ENERGY AND COMMERCE COMMITTEE DRAFT GLASS-STEAGALL BILL __________________________________________________________ As previously reported (see Memo to Board of Governors No. 59-91, dated August 13, 1991), the Glass-Steagall...
September 10, 1991 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 39-91 SMALL FUNDS MEMBERS NO. 10-91 RE: GROUP EMPLOYEE BENEFIT INSURANCE PROGRAM __________________________________________________________ We are now entering our fourth year of the ICI sponsored Benefit Source Trust, an...
September 10, 1991 TO: CONTRACTUAL PLANS COMMITTEE NO. 12-91 RE: INSTITUTE RESPONDS TO NASAA COMMITTEE PROPOSALS __________________________________________________________ The Institute submitted the attached comment letter to the NASAA Investment Company Registration/Trading...
September 10, 1991 TO: CONTRACTUAL PLANS COMMITTEE NO. 13-91 RE: PENNSYLVANIA DETERMINES ACT NO. 113 DOES NOT APPLY TO CONTRACTUAL PLANS __________________________________________________________ The Institute is pleased to inform you that the Pennsylvania Office of the Attorney...
September 9, 1991 TO: SEC RULES COMMITTEE NO. 53-91 INVESTMENT ISSUES COMMITTEE NO. 12-91 RE: DRAFT INSTITUTE COMMENT LETTER ON PROXY REFORM __________________________________________________________ As we previously informed you, the SEC has proposed amendments to the proxy rules...
September 6, 1991 TO: SEC RULES MEMBERS NO. 45-91 CLOSED-END FUND MEMBERS NO. 38-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 37-91 SECTION 16 TASK FORCE RE: SEC STAFF ISSUES RELIEF UNDER SECTION 16 OF THE EXCHANGE ACT TO A CONTROLLING PERSON OF INVESTMENT ADVISORY ENTITIES ___________...
September 6, 1991 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 38-91 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...
September 5, 1991 TO: BOARD OF GOVERNORS NO. 65-91 RE: PROPOSED MINUTES OF MAY 22, 1991 MEETING __________________________________________________________ Attached hereto is a copy of the minutes of the May 22, 1991 board meeting which are proposed to be presented to the Board of...
September 5, 1991 TO: BOARD OF GOVERNORS NO. 67-91 SEC RULES MEMBERS NO. 44-91 RE: SEVENTH CIRCUIT HOLDS PLAINTIFF IN FUND PROXY CASE WAS REQUIRED TO MAKE DEMAND ON DIRECTORS __________________________________________________________ On remand from the U.S. Supreme Court, the Court of...
September 5, 1991 TO: BOARD OF GOVERNORS NO. 66-91 MEMBERS - ONE PER COMPLEX NO. 40-91 DIRECT MARKETING COMMITTEE NO. 31-91 MARKETING COMMITTEE NO. 36-91 PENSION COMMITTEE NO. 25-91 PUBLIC INFORMATION COMMITTEE NO. 30-91 RESEARCH COMMITTEE NO. 21-91 SALES FORCE MARKETING COMMITTEE NO...
September 3, 1991 TO: CONTRACTUAL PLANS COMMITTEE NO. 11-91 RE: COMMITTEE MEETING TO DISCUSS NASAA COMMITTEE RECOMMENDATIONS RE-SCHEDULED __________________________________________________________ Due to scheduling conflicts, we are re-scheduling the Tuesday, September 10th meeting to...
September 3, 1991 TO: PENSION COMMITTEE NO. 24-91 RE: PROTOTYPE SEP/SARSEP MEETING POSTPONED __________________________________________________________ The meeting scheduled for 10:00 a.m. on Thursday, September 5, 1991 at the Institute (see Memorandum to Pension Committee No. 22-91...
- 1 - August 30, 1991 TO: INTERNATIONAL COMMITTEE NO. 21-91 RE: EUROPEAN DEVELOPMENTS IN MUTUAL FUND TAXATION __________________________________________________________ This memorandum summarizes recent tax developments in Europe regarding mutual fund taxation. 1. German Supreme Court...
August 30, 1991 TO: CONTRACTUAL PLANS COMMITTEE NO. 10-91 RE: MEETING SCHEDULED TO DISCUSS NASAA INVESTMENT COMPANY REGISTRATION/TRADING PRACTICES COMMITTEE REPORT __________________________________________________________ As we previously informed you, the NASAA Investment Company...
August 30, 1991 TO: TAX MEMBERS NO. 36-91 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 23-91 RE: NEW CONNECTICUT INCOME TAX LAW PROVIDES FOR PASS-THROUGH OF FEDERAL OBLIGATION INTEREST __________________________________________________________ The Institute is pleased to inform you that...
August 30, 1991 TO: SEC RULES COMMITTEE NO. 52-91 INVESTMENT ISSUES COMMITTEE NO. 10-91 RE: SEC PROPOSAL TO ESTABLISH AN ACTIVITY-BASED LARGE TRADER REPORTING SYSTEM _______________________________________________________ The SEC has published for comment proposed Rule 13h-1 under the...
August 30, 1991 TO: INVESTMENT ISSUES COMMITTEE NO. 11-91 RE: PROPOSED LEGISLATION CONCERNING STATUTE OF LIMITATIONS FOR PRIVATE RIGHTS OF ACTION UNDER THE 1934 ACT __________________________________________________________ Attached for your information and review is a copy of the...
August 29, 1991 TO: SMALL FUNDS MEMBERS NO. 9-91 RE: USE OF FUNDS COMPUTER COMMUNICATIONS NETWORK __________________________________________________________ As you know, the Institute maintains a computer communi- cations network with its members. The network is designed to give...
August 29, 1991 TO: INVESTMENT ADVISER MEMBERS NO. 37-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 36-91 RE: ALASKA RAISES REGISTRATION FEES __________________________________________________________ Attached are revised regulations promulgated by the Alaska Department of Commerce and...
August 29, 1991 TO: SEC RULES COMMITTEE NO. 50-91 RE: SEC PROPOSES RULE AMENDMENTS REGARDING OBLIGATIONS OF BROKERS AND BANKS TO FORWARD CERTAIN SHAREHOLDER COMMUNICATIONS TO BENEFICIAL OWNERS __________________________________________________________ As we previously informed you...
