August 28, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 39-91 STATE SECURITIES MEMBERS NO. 40-91 BLUE SKY GUIDE RECIPIENTS RE: 1991-92 BLUE SKY COMPLIANCE WORKSHOPS __________________________________________________________ As you may remember, the Institute held a series of Blue Sky...
August 28, 1991 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 39-91 RE: STATUS OF COMMITTEE PROJECTS __________________________________________________________ The status of each of the Transfer Agent Advisory Committee's (TAAC) projects, as reported at the June 19, 1991 meeting, are...
August 27, 1991 TO: STATE LIAISON COMMITTEE NO. 17-91 RE: NOTICE OF MEETING - OCTOBER 15, 1991 __________________________________________________________ The State Liaison Committee meeting has been scheduled for 1:30 p.m. on Tuesday, October 15, 1991. The meeting will be held at the...
August 27, 1991 TO: INVESTMENT ADVISER MEMBERS NO. 36-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 35-91 RE: NORTH CAROLINA ENACTS NEW ENFORCEMENT PROVISIONS __________________________________________________________ Attached is a copy of legislation which was recently enacted in North...
August 27, 1991 TO: MARKETING COMMITTEE NO. 35-91 RE: MEETING, SEPTEMBER 4, 1991 __________________________________________________________ The principal purpose of the meeting scheduled for September 4, 1991 at the Institute is to review the proposed budgets for the Public...
August 27, 1991 TO: SEC RULES COMMITTEE NO. 49-91 RE: NOTICE OF MEETING - OCTOBER 8, 1991 __________________________________________________________ The SEC Rules Committee meeting has been scheduled for Tuesday, October 8, 1991 at 10:00 a.m. The meeting will be held at the Madison...
August 26, 1991 TO: PUBLIC INFORMATION COMMITTEE NO. 29-91 RE: MINUTES OF THE PUBLIC INFORMATION COMMITTEE, JULY 17, 1991 PRELIMINARY AGENDAS FOR SEPTEMBER 11, 1991 RESPONSE REQUESTED ON PI SUBCOMMITTEES __________________________________________________________ The Public Information...
August 26, 1991 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 29-91 RE: NOTICE OF MEETING, OCTOBER 16, 1991 __________________________________________________________ A meeting of the Unit Investment Trust Committee has been scheduled for Wednesday, October 16, 1991 at 10:00 a.m. in the...
August 26, 1991 TO: STATE SECURITIES MEMBERS NO. 39-91 RE: INSTITUTE COMMENTS ON PROPOSED DELAWARE MUTUAL FUND RENEWAL FORM __________________________________________________________ As we previously informed you, the Delaware Securities Division recently adopted several new rules...
August 26, 1991 TO: MARKETING COMMITTEE NO. 34-91 RE: MINUTES OF THE PUBLIC INFORMATION COMMITTEE, JULY 17, 1991 __________________________________________________________ Transmitted for your information is a copy of the most recent Public Information Committee Minutes. Best Regards...
August 26, 1991 TO: CLOSED-END FUND COMMITTEE NO. 22-91 RE: NOTICE OF MEETING, OCTOBER 17, 1991 __________________________________________________________ A meeting of the Closed-End Fund Committee has been scheduled for 10:00 a.m. on Thursday, October 17, 1991 in the conference room...
August 26, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 39-91 RE: NOTICE OF MEETING, OCTOBER 8, 1991 __________________________________________________________ The Investment Advisers Committee meeting has been scheduled for Tuesday, October 8, 1991 at 1:30 p.m. at the Madison Hotel...
August 23, 1991 TO: MONEY MARKET FUNDS AD HOC COMMITTEE NO. 22-91 RE: INTERPRETIVE ISSUES AND TECHNICAL QUESTIONS UNDER RULE 2a-7 __________________________________________________________ As you may recall, after the Commission adopted the amendments to Rule 2a-7 last February the...
August 23, 1991 TO: TAX COMMITTEE NO. 28-91 INSTITUTIONAL FUNDS COMMITTEE NO. 5-91 RE: NEW PROPOSED REGULATIONS ON POOLING OF ASSETS OF NUCLEAR DECOMMISSIONING TRUST FUNDS __________________________________________________________ As we previously informed you, the Treasury Department...
August 23, 1991 TO: STATE SECURITIES MEMBERS NO. 38-91 UNIT INVESTMENT TRUST MEMBERS NO. 37-91 RE: CORRECT FORM FOR SECURITIES REGISTRATION IN FLORIDA __________________________________________________________ The information previously sent to you with respect to Florida's revised...
August 23, 1991 TO: BOARD OF GOVERNORS NO. 64-91 RE: SEPTEMBER 19 MEETING TO DISCUSS YIELD ENHANCEMENT ISSUES __________________________________________________________ Recently, questions have been raised regarding methods used by some funds to enhance their distribution rates...
- 1 - August 23, 1991 TO: TAX COMMITTEE NO. 27-91 MINNESOTA MEMBERS RE: INSTITUTE LETTER TO MINNESOTA TAX COMMISSIONER ON EXEMPT-INTEREST DIVIDEND REPORTING REQUIREMENT __________________________________________________________ As we have previously informed you, Minnesota recently...
August 22, 1991 TO: INTERNATIONAL COMMITTEE NO. 20-91 RE: LETTER TO TREASURY DEPARTMENT ON COUNTRY-BY-COUNTRY BARRIER LISTS FOR GATT NEGOTIATIONS __________________________________________________________ As we previously informed you, in connection with the GATT negotiations, the...
August 22, 1991 TO: SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 25-91 RE: Agenda for Next Meeting; Minutes of Last Meeting __________________________________________________________ Enclosed, along with the minutes of the Spring 1991 meeting, is a preliminary agenda for the upcoming Fall...
August 21, 1991 TO: DIRECT MARKETING COMMITTEE NO. 29-91 RE: AGENDA FOR SEPTEMBER 12 MEETING __________________________________________________________ Here is the preliminary agenda for the fall meeting of the Direct Marketing Committee. It will be held on September 12 at 2:00 p.m...
August 21, 1991 TO: STATE SECURITIES MEMBERS NO. 37-91 UNIT INVESTMENT TRUST MEMBERS NO. 36-91 RE: ALASKA REGULATIONS ADOPT NEW FEE STRUCTURE __________________________________________________________ Earlier this year, H.B. 210 amending the Alaska Securities Act was passed which...
August 21, 1991 TO: INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 9-91 RE: MEETING AGENDA - SEPTEMBER 11, 1991 __________________________________________________________ Attached for your information is the agenda for the September 11, 1991 meeting of the Insurance Broker/Dealer...
August 21, 1991 TO: STATE SECURITIES MEMBERS NO. 36-91 RE: NEW PROCEDURES FOR SECURITIES REGISTRATION IN NEBRASKA BECOME EFFECTIVE SEPTEMBER 6 __________________________________________________________ As we previously informed you, legislation which amends Nebraska's indefinite...
August 21, 1991 TO: SEC RULES COMMITTEE NO. 48-91 RE: NASD NOTICE ON USE OF "NEGATIVE RESPONSE" LETTERS IN SWITCHING CUSTOMERS FROM ONE MUTUAL FUND TO ANOTHER __________________________________________________________ In its June Notice to Members, the NASD reminded members of the...
August 21, 1991 TO: BOARD OF GOVERNORS NO. 63-91 MEMBERS - ONE PER COMPLEX NO. 38-91 RE: ICI MUTUAL NEWSLETTER __________________________________________________________ Enclosed is the latest edition of of mutual interest. Donald E. O'Connor Vice President - Operations Enclosure
