June 19, 1991 TO: STATE SECURITIES MEMBERS NO. 27-91 RE: TEXAS ADOPTS RULE EXCLUDING 144A SECURITIES FROM INVESTMENT LIMITATION __________________________________________________________ The Institute is pleased to inform you that, effective May 16, 1991, the Texas Securities Board...
June 19, 1991 TO: TAX MEMBERS NO. 20-91 OPERATIONS MEMBERS NO. 14-91 CLOSED-END FUND MEMBERS NO. 26-91 UNIT INVESTMENT TRUST MEMBERS NO. 24-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 29-91 RE: IRS NEWS RELEASE ON SCHEDULE FOR 1989 INFORMATION RETURN PENALTY NOTICES _____________________...
June 19, 1991 TO: MARKETING COMMITTEE NO. 26-91 RE: MINUTES OF THE PUBLIC INFORMATION COMMITTEE, April 23, 1991 __________________________________________________________ Transmitted for your information is a copy of the most recent Public Information Committee Minutes. Best Regards...
June 19, 1991 TO: MARKETING COMMITTEE NO. 27-91 RE: MINUTES OF THE PUBLIC INFORMATION COMMITTEE, April 23, 1991 __________________________________________________________ Transmitted for your information is a copy of the most recent Public Information Committee Minutes. Best Regards...
June 19, 1991 TO: TAX COMMITTEE NO. 16-91 ACCOUNTING/TREASURERS COMMITTEE NO. 12-91 CLOSED-END FUND COMMITTEE NO. 13-91 INTERNATIONAL COMMITTEE NO. 9-91 RE: SECOND UPDATE OF INSTITUTE SURVEY RELATING TO PFICs __________________________________________________________ The following is...
June 19, 1991 TO: BOARD OF GOVERNORS NO. 43-91 TAX COMMITTEE NO. 17-91 RE: INSTITUTE STATEMENT ON TAX ISSUES IN FINANCIAL SERVICES REFORM __________________________________________________________ Recently, the House Ways and Means Committee held a hearing on tax aspects of...
June 19, 1991 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 13-91 RE: MEETING AGENDA - JUNE 25, 1991 __________________________________________________________ Attached is the agenda for the Accounting/Treasurers Committee meeting starting at 10:00 a.m. on Tuesday, June 25, 1991 at The...
June 19, 1991 TO: TAX COMMITTEE NO. 18-91 RE: INSTITUTE TESTIMONY ON PENNSYLVANIA PASS-THROUGH LEGISLATION __________________________________________________________ As we previously informed you, a bill to permit funds to "pass through" federal obligation interest free of state tax...
June 18, 1991 TO: PUBLIC INFORMATION COMMITTEE NO. 23-91 RE: Agenda and Registration for July 17 Meeting __________________________________________________________ 1. The Public Information Committee will be holding its summer meeting in New York City on July 17, 1991 at the Algonquin...
June 17, 1991 TO: SEC RULES MEMBERS NO. 36-91 CLOSED-END FUND MEMBERS NO. 25-91 UNIT INVESTMENT TRUST MEMBERS NO. 23-91 INVESTMENT ADVISER MEMBERS NO. 23-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 23-91 RE: SEC GRANTS INSTITUTE REQUEST FOR INTERPRETIVE ADVICE UNDER RULE 17j-1 OF THE...
June 17, 1991 TO: CLOSED-END FUND MEMBERS NO. 24-91 SECTION 16 TASK FORCE RE: SEC STAFF GRANTS INSTITUTE REQUEST FOR CLARIFICATION OF DEFINITION OF "OFFICER" UNDER SECTION 30(f) OF THE 1940 ACT __________________________________________________________ The Institute recently received...
June 14, 1991 TO: STATE LIAISON COMMITTEE NO. 13-91 UNIT INVESTMENT TRUST COMMITTEE NO. 22-91 RE: INSTITUTE SUBMITS COMMENTS ON PROPOSED KANSAS RULE PROVIDING FOR BLUE CHIP EXEMPTION __________________________________________________________ The Office of the Kansas Securities...
June 14, 1991 TO: BOARD OF GOVERNORS NO. 42-91 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 16-91 RE: RHODE ISLAND LEGISLATURE ADJOURNS WITHOUT MONEY MARKET FUND TAX __________________________________________________________ The Institute is pleased to inform you that the Rhode Island...
June 14, 1991 TO: STATE SECURITIES MEMBERS NO. 26-91 SEC RULES COMMITTEE NO. 34-91 RE: WISCONSIN WILL ACCEPT ALTERNATE DISCLOSURE FOR A FUND WITH A NON-FUNDAMENTAL INVESTMENT OBJECTIVE __________________________________________________________ Based upon the Institute's request, the...
June 13, 1991 TO: INSTITUTIONAL FUNDS COMMITTEE NO. 3-91 RE: PROPOSAL TO TREASURY DEPARTMENT ON SLGS-STYLE MONEY MARKET FUND FOR MUNICIPAL BOND ISSUERS __________________________________________________________ As discussed at the last Institutional Funds Committee meeting on June 6...
June 13, 1991 TO: STATE SECURITIES MEMBERS NO. 25-91 UNIT INVESTMENT TRUST MEMBERS NO. 22-91 RE: PROCEDURES FOR REGISTRATION OF SECURITIES IN IOWA __________________________________________________________ As we previously informed you, legislation was adopted in Iowa amending the...
June 12, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 20-91 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Enclosed is a copy of the Registration Status Report as of May 31, 1991...
June 12, 1991 TO: PENSION COMMITTEE NO. 14-91 RE: CALIFORNIA APPLIES COMMUNITY PROPERTY LAWS TO IRA ASSETS __________________________________________________________ Section 408(g) of the Internal Revenue Code provides that individual retirement arrangement provisions shall be applied...
June 12, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 19-91 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING MAY, 1991 __________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending May, 1991. We will continue to...
MEETING DATE CORRECTION June 12, 1991 TO: DANIEL MACLEAN - THE DREYFUS CORPORATION JEFFREY SION - THE DREYFUS CORPORATION ROBERT HARRIS - MERRILL LYNCH ASSET MGMT. SAMUEL BEARDSLEY - T. ROWE PRICE STEPHEN KEEN - FEDERATED INVESTORS G. ANDREW BONNEWELL - FEDERATED INVESTORS ROBERT...
June 11, 1991 TO: BOARD OF GOVERNORS NO. 41-91 MEMBERS - ONE PER COMPLEX NO. 27-91 SEC RULES COMMITTEE NO. 33-91 1990'S AD HOC COMMITTEE RE: THE INVESTMENT COMPANY INDUSTRY IN THE 1990'S __________________________________________________________ Enclosed is a copy of "The Investment...
June 11, 1991 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 27-91 RE: MEETING AGENDA - JUNE 19, 1991 __________________________________________________________ Attached is the agenda for the Transfer Agent Advisory Committee meeting starting at 8:30 a.m. on June 19, 1991 at the Bostonian...
June 10, 1991 TO: BOARD OF GOVERNORS NO. 39-91 MEMBERS - ONE PER COMPLEX NO. 25-91 DIRECT MARKETING COMMITTEE NO. 19-91 MARKETING COMMITTEE NO. 24-91 OPERATIONS COMMITTEE NO. 18-91 PUBLIC INFORMATION COMMITTEE NO. 21-91 RESEARCH COMMITTEE NO. 17-91 SALES FORCE MARKETING COMMITTEE NO...
