August 20, 1991 TO: TAX COMMITTEE NO. 26-91 PENSION COMMITTEE NO. 23-91 RE: NOTICE OF MEETING, THURSDAY, OCTOBER 10, 1991 __________________________________________________________ The Tax and Pension Committee meetings have been scheduled for Thursday, October 10, 1991. The Tax...
August 20, 1991 TO: STATE SECURITIES MEMBERS NO. 35-91 RE: INSTITUTE SUBMITS FOLLOW-UP COMMENT LETTER TO OHIO __________________________________________________________ As you know, for the past few years the Institute has been working with the Ohio Securities Division on amendments...
August 20, 1991 TO: STATE SECURITIES MEMBERS NO. 34-91 UNIT INVESTMENT TRUST MEMBERS NO. 35-91 RE: DELAWARE LEGISLATION INCREASES FEES __________________________________________________________ The Institute recently learned that legislation was signed into law in Delaware which...
August 19, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 36-91 RE: EMERGENCY PRICING PROCEDURES FOR HURRICANE BOB __________________________________________________________ The Institute has received several inquiries from members this morning regarding possible pricing problems for funds as...
August 19, 1991 TO: PENSION MEMBERS NO. 32-91 OPERATIONS MEMBERS NO. 21-91 INVESTMENT ADVISER MEMBERS NO. 34-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 33-91 TAX MEMBERS NO. 34-91 ACCOUNTING/TREASURERS MEMBERS NO. 23-91 MEMBERS INTERESTED IN PUBLIC INFORMATION NO. 14-91 MEMBERS - ONE...
August 19, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 38-91 RE: BREEDEN TESTIFIES ON SEC REAUTHORIZATION __________________________________________________________ In recent testimony before the Senate Banking Securities Subcommittee on the SEC reauthorization request for FYs 1992-94...
August 19, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 35-91 RE: WRITTEN CONSENT IN LIEU OF THE ANNUAL MEETING OF MEMBERS __________________________________________________________ The By-Laws of the Institute provide for an annual meeting of members to elect members of the Board of...
August 19, 1991 TO: BOARD OF GOVERNORS NO. 62-91 STATE SECURITIES MEMBERS NO. 33-91 TAX MEMBERS NO. 35-91 UNIT INVESTMENT TRUST MEMBERS NO. 34-91 INVESTMENT ADVISER MEMBERS NO. 35-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 34-91 RE: TEXAS PASSES TAX BILL _____________________________...
August 16, 1991 TO: CONTRACTUAL PLANS COMMITTEE NO. 9-91 RE: DRAFT LETTER TO NASAA INVESTMENT COMPANY COMMITTEE REGARDING PROPOSED RECOMMENDATIONS __________________________________________________________ Attached is a draft letter to the NASAA Investment Company Registration/Trading...
August 16, 1991 TO: DIRECT MARKETING COMMITTEE NO. 27-91 PUBLIC INFORMATION COMMITTEE NO. 27-91 SALES FORCE MARKETING COMMITTEE NO. 28-91 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 23-91 RE: HOTEL RESERVATIONS FOR WINTER COMMITTEE MEETINGS _______________________________________________...
August 16, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 28-91 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING JULY, 1991 __________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending July, 1991. We will continue...
August 16, 1991 TO: BOARD OF GOVERNORS NO. 61-91 RE: CONGRESSMAN ANDREWS TO SPEAK AT BOARD OF GOVERNORS LEGISLATIVE BREAKFAST __________________________________________________________ I am pleased to announce that Congressman Mike Andrews (D-TX) has agreed to speak at the Board of...
August 15, 1991 TO: INTERNATIONAL COMMITTEE NO. 19-91 RE: NEW U.K. REGULATIONS FOR COLLECTIVE INVESTMENT SCHEMES __________________________________________________________ Attached for your information is a copy of the monthly newsletter prepared for the Institute by Norton Rose. This...
August 15, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 37-91 PENNSYLVANIA INVESTMENT ADVISER MEMBERS PENNSYLVANIA INVESTMENT ADVISER ASSOCIATE MEMBERS RE: PENNSYLVANIA PROPOSED ADVISER RULES __________________________________________________________ Attached is a copy of proposed rules...
MEMORANDUM CORRECTION August 15, 1991 TO: ACCOUNTING/TREASURERS MEMBERS NO. 22-91 TAX MEMBERS NO. 33-91 RE: REGULATIONS ON STRIPPED BONDS AND COUPONS RESULTING FROM EXCESS SERVICING FEES ON MORTGAGE-BACKED SECURITIES __________________________________________________________ The...
August 15, 1991 TO: PENSION MEMBERS NO. 31-91 RE: IRS RELEASES FINAL 401 REGULATIONS __________________________________________________________ The Internal Revenue Service released today final regulations relating to cash or deferred arrangements and employee and matching...
August 15, 1991 TO: SMALL FUNDS MEMBERS NO. 8-91 RE: SMALL FUNDS CONFERENCE - OCTOBER 30-NOVEMBER 1, 1991 __________________________________________________________ You are cordially invited to attend the annual Small Funds Conference which is scheduled for October 30 - November 1...
August 14, 1991 TO: SALES FORCE MARKETING COMMITTEE NO. 27-91 RE: SEPTEMBER 1991 MEETING __________________________________________________________ Attached is a preliminary agenda for the next meeting of the Sales Force Marketing Committee to be held Thursday, September 12, 1991, 9...
August 14, 1991 TO: CLOSED-END FUND MEMBERS NO. 36-91 INVESTMENT ADVISER MEMBERS NO. 33-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 32-91 RE: SEC REVOKES REGISTRATION OF ADVISER TO CLOSED-END FUND AND SANCTIONS THE ADVISER'S PRESIDENT __________________________________________________...
August 14, 1991 TO: BOARD OF GOVERNORS NO. 60-91 SEC RULES COMMITTEE NO. 47-91 CLOSED-END FUND MEMBERS NO. 37-91 RE: INSTITUTE SUBMISSION TO NYSE ON REQUEST FOR RELIEF FROM SHAREHOLDER MEETING AND PROXY VOTING REQUIREMENTS __________________________________________________________ As...
August 13, 1991 TO: SEC RULES COMMITTEE NO. 46-91 CLOSED-END FUND COMMITTEE NO. 21-91 RE: INSTITUTE COMMENTS ON SEC PROPOSAL CONCERNING LIMITED PARTNERSHIP ROLL-UP TRANSACTIONS __________________________________________________________ As we previously informed you, the SEC has...
August 13, 1991 TO: BOARD OF GOVERNORS NO. 59-91 RE: STATUS OF GLASS-STEAGALL LEGISLATION __________________________________________________________ The purpose of this memorandum is to advise you as to the current status of financial services restructuring legislation. Congress has...
August 13, 1991 TO: EMPLOYEES' COMP., BENEFITS & RET. ADV. COMMITTEE NO. 1-91 RE: SCHEDULE OF COMMITTEE ACTIVITY __________________________________________________________ By resolution of the Executive Committee dated July 11, 1991 the Employees' Compensation, Benefits and Retirement...
August 13, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 34-91 RE: Annual Verification Report __________________________________________________________ Each year we ask the senior contact at each Institute member group to coordinate the important task of verifying key information with...
August 13, 1991 TO: BOARD OF GOVERNORS NO. 58-91 FEDERAL LEGISLATION MEMBERS NO. 16-91 FEDERAL LEGISLATION COMMITTEE NO. 17-91 RE: INSTITUTE TESTIFIES IN SUPPORT OF BENTSEN-ROTH IRA PLAN __________________________________________________________ On July 31, the Institute testified...
