May 6, 1991 TO: PUBLIC INFORMATION COMMITTEE NO. 17-91 RE: PUBLIC INFORMATION COMMITTEE SUMMER MEETING __________________________________________________________ At the April 23 Public Information Committee meeting, it was decided to poll committee members as to whether there should...
May 2, 1991 TO: DIRECT MARKETING COMMITTEE NO. 14-91 MARKETING COMMITTEE NO. 17-91 PUBLIC INFORMATION COMMITTEE NO. 15-91 RESEARCH COMMITTEE NO. 11-91 SALES FORCE MARKETING COMMITTEE NO. 14-91 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 12-91 SMALL FUNDS COMMITTEE NO. 5-91 MEMBERS...
May 2, 1991 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 17-91 INVESTMENT ADVISER MEMBERS NO. 16-91 BROKER/DEALER ASSOCIATE MEMBERS NO. 2-91 MEMBERS - ONE PER COMPLEX NO. 19-91 RE: INSTITUTE 1991 INVESTMENT ADVISERS CONFERENCE __________________________________________________________...
May 2, 1991 TO: INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 5-91 RE: AGENDA FOR JUNE 6-7 MEETING IN ST. LOUIS __________________________________________________________ Attached is the agenda for the June 6-7 meeting of the Insurance Broker-Dealer Advisory Committee which is...
May 2, 1991 TO: BOARD OF GOVERNORS NO. 29-91 RE: PROPOSED MINUTES OF JANUARY 30-31, 1991 MEETING __________________________________________________________ Attached hereto is a copy of the minutes of January 30-31, 1991 which are proposed to be presented to the Board of Governors at...
May 1, 1991 TO: PENSION MEMBERS NO. 17-91 RE: DEPARTMENT OF LABOR UNVEILS PROPOSED PENSION "POWER" PLAN __________________________________________________________ Department of Labor Secretary Lynn Martin yesterday announced the Bush Administration's proposal to expand pension...
May 1, 1991 TO: PENSION COMMITTEE NO. 10-91 RE: INSTITUTE RECOMMENDATIONS REGARDING PRIME ACCOUNTS __________________________________________________________ Attached are the Institute's recommendations regarding the PRIME Retirement Account Act of 1991. (See Institute Memorandum to...
- 1 - May 1, 1991 TO: PENSION COMMITTEE NO. 11-91 RE: DRAFT INSTITUTE COMMENT ON PROPOSED ERISA 404(c) REGULATION __________________________________________________________ Attached is a draft copy of the Institute's comments regarding the Department of Labor's proposed regulation...
April 30, 1991 TO: PENSION COMMITTEE NO. 9-91 OPERATIONS COMMITTEE NO. 13-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 22-91 RE: PROPOSED PENSION OPERATIONS COMMITTEE __________________________________________________________ The Institute has received many recent requests to develop a...
April 30, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 19-91 FLORIDA INVESTMENT ADVISER MEMBERS FLORIDA INVESTMENT ADVISER ASSOCIATE MEMBERS RE: INSTITUTE URGES FLORIDA TO REVISE BRANCH OFFICE PROPOSAL __________________________________________________________ As we previously informed...
April 29, 1991 TO: SEC RULES MEMBERS NO. 28-91 STATE SECURITIES MEMBERS NO. 19-91 CLOSED-END FUND MEMBERS NO. 18-91 UNIT INVESTMENT TRUST MEMBERS NO. 17-91 RE: CALIFORNIA SUPREME COURT REFUSES TO REVIEW DECISION DECLARING PROPOSITION 105 UNCONSTITUTIONAL ______________________________...
April 29, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 18-91 CLOSED-END FUND MEMBERS NO. 19-91 TAX MEMBERS NO. 11-91 UNIT INVESTMENT TRUST MEMBERS NO. 18-91 ACCOUNTING/TREASURERS MEMBERS NO. 10-91 RE: NEW MEXICO RETROACTIVELY IMPOSES TAXATION ON OUT-OF-STATE MUNICIPAL BOND INCOME __________...
April 29, 1991 TO: MARKETING COMMITTEE NO. 16-91 INDUSTRY STATISTICS COMMITTEE NO. 6-91 RE: MINUTES, MARCH 27TH MEETING @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ The Committee on Industry Statistics met on March 27th. These minutes are divided into five issues that...
April 29, 1991 TO: BOARD OF GOVERNORS NO. 28-91 SEC RULES COMMITTEE NO. 24-91 INTERNATIONAL COMMITTEE NO. 5-91 RE: INSTITUTE TESTIFIES IN SUPPORT OF THE "FAIR TRADE IN FINANCIAL SERVICES ACT OF 1991" __________________________________________________________ The Institute recently...
April 25, 1991 TO: BOARD OF GOVERNORS NO. 27-91 SEC RULES MEMBERS NO. 27-91 SMALL FUNDS MEMBERS NO. 7-91 RULE 12b-1 AD HOC COMMITTEE RE: SEC APPROVES NASD PROPOSAL TO REQUIRE DISCLOSURE OF DEFERRED SALES CHARGE ON CONFIRMATION STATEMENT ________________________________________________...
April 25, 1991 TO: SEC RULES MEMBERS NO. 26-91 STATE SECURITIES MEMBERS NO. 18-91 CLOSED-END FUND MEMBERS NO. 17-91 UNIT INVESTMENT TRUST MEMBERS NO. 16-91 RE: CALIFORNIA SECRETARY OF STATE ADOPTS FINAL ANTI-APARTHEID DISCLOSURE REGULATIONS ____________________________________________...
April 25, 1991 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 19-91 RE: MARGIN REQUIREMENTS FOR SECURITIES ISSUED BY UNIT INVESTMENT TRUSTS __________________________________________________________ At the suggestion of several members of the Unit Investment Trust Committee and as discussed...
April 25, 1991 TO: STATE SECURITIES MEMBERS NO. 17-91 UNIT INVESTMENT TRUST MEMBERS NO. 15-91 RE: TENNESSEE REPEALS INVESTMENT RESTRICTIONS AND STREAMLINES REGISTRATION AND RENEWAL PROCEDURES __________________________________________________________ For the past several years, the...
April 24, 1991 TO: BOARD OF GOVERNORS NO. 26-91 RE: INSTITUTE TESTIMONY ON ADMINISTRATION'S FINANCIAL SERVICES RESTRUCTURING BILL __________________________________________________________ On Thursday, April 18, the Institute testified before the Subcommittee on Financial Institutions...
April 24, 1991 TO: SEC RULES COMMITTEE NO. 23-91 CLOSED-END FUND COMMITTEE NO. 7-91 UNIT INVESTMENT TRUST COMMITTEE NO. 18-91 INVESTMENT ADVISERS COMMITTEE NO. 18-91 RE: ISSUES CONCERNING NEW RULES UNDER SECTION 16 OF 1934 ACT; INSTITUTE REQUEST FOR INTERPRETIVE GUIDANCE UNDER RULE...
April 23, 1991 TO: OPERATIONS COMMITTEE NO. 12-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 21-91 RE: POSSIBLE LEGISLATION OF SHAREHOLDER BASIS INFORMATION REPORTING __________________________________________________________ On February 6, 1991, a memorandum was faxed to the Transfer...
April 23, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 17-91 RE: MEETINGS WITH MEMBERS OF CONGRESS __________________________________________________________ The Institute's Legislative Affairs Department is requesting important information concerning your willingness to meet with Members...
April 22, 1991 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 7-91 TAX COMMITTEE NO. 11-91 RE: MEETING ON PROPOSED IRS COORDINATED ISSUE ON CAPITALIZATION AND AMORTIZATION OF EXPENSES OF ORGANIZING FUNDS __________________________________________________________ The Internal Revenue Service...
