April 22, 1991 TO: BOARD OF GOVERNORS NO. 25-91 SEC RULES MEMBERS NO. 25-91 RULE 12b-1 AD HOC COMMITTEE RE: SEC SOLICITS COMMENTS ON NASD 12b-1 RULE __________________________________________________________ In the attached Release, the SEC has solicited public comments on an NASD...
April 22, 1991 TO: INVESTMENT ADVISER MEMBERS NO. 15-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 16-91 RE: IDAHO LEGISLATURE PASSES INVESTMENT ADVISER REGISTRATION STATUTE __________________________________________________________ Attached is a copy of investment advisers legislation...
April 22, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 13-91 RE: NOTICE OF MEETING - JUNE 13, 1991 SECOND REQUEST - PLEASE RESPOND __________________________________________________________ This is to advise you that there will be a meeting of the Broker/Dealer Advisory Committee...
April 19, 1991 TO: FEDERAL LEGISLATION MEMBERS NO. 4-91 RE: INSTITUTE TESTIMONY ON FINANCIAL SERVICES RESTRUCTURING __________________________________________________________ On April 18, the Institute testified before the Financial Institutions Supervision, Regulation and Insurance...
April 19, 1991 TO: BOARD OF GOVERNORS NO. 24-91 FEDERAL LEGISLATION COMMITTEE NO. 5-91 RE: MEETINGS WITH MEMBERS OF CONGRESS __________________________________________________________ The Institute's Legislative Affairs Department is requesting important information concerning your...
April 19, 1991 TO: DIRECT MARKETING COMMITTEE NO. 13-91 MARKETING COMMITTEE NO. 15-91 SALES FORCE MARKETING COMMITTEE NO. 13-91 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 11-91 PUBLIC INFORMATION COMMITTEE NO. 14-91 RESEARCH COMMITTEE NO. 10-91 SMALL FUNDS COMMITTEE NO. 4-91 MEMBERS...
April 18, 1991 TO: UNIT INVESTMENT TRUST MEMBERS NO. 14-91 RE: LEGISLATION PASSED IN MASSACHUSETTS SETTING REGISTRATION FEE FOR UNIT INVESTMENT TRUSTS __________________________________________________________ As we previously informed you, in January 1990 the Massachusetts Securities...
April 18, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 16-91 OKLAHOMA INVESTMENT ADVISER AND ASSOCIATE MEMBERS RE: INSTITUTE COMMENTS ON OKLAHOMA PROPOSAL __________________________________________________________ Attached is the Institute's comments regarding the investment adviser...
April 18, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 17-91 RE: INSTITUTE SUPPORTS CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION PROPOSALS __________________________________________________________ As we previously informed you, the California Fair Political Practices Commission staff...
April 17, 1991 TO: NETWORKING INDEMNIFICATION TASK FORCE NO. 3-91 RE: REVISED DRAFT OF NASD PROPOSAL __________________________________________________________ Enclosed is a revised draft of the Institute's NASD proposal regarding NSCC's Networking and related mutual fund services...
April 17, 1991 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 20-91 RE: NOTICE OF MEETING - JUNE 19, 1991 __________________________________________________________ This is to advise you that there will be a meeting of the Transfer Agent Advisory Committee starting at 8:30 a.m. on June 19...
April 17, 1991 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 16-91 RE: INSTITUTE SUBMITS LETTER IN SUPPORT OF NEW YORK LEGAL INVESTMENT LEGISLATION __________________________________________________________ The Institute was recently advised that legislation in New York has been introduced...
April 17, 1991 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 17-91 RE: DRAFT AGENDA FOR APRIL 23 MEETING __________________________________________________________ Attached is a draft agenda for the next meeting of the Unit Investment Trust Committee, scheduled for Tuesday, April 23. The...
April 17, 1991 TO: CLOSED-END FUND COMMITTEE NO. 6-91 RE: DRAFT AGENDA FOR APRIL 24 MEETING __________________________________________________________ Attached is a draft agenda for the Closed-End Fund Committee meeting scheduled for April 24th at 10:00 a.m. The meeting will be held...
April 16, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 12-91 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING MARCH, 1991 __________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending March, 1991. We will continue...
April 16, 1991 TO: PENSION MEMBERS NO. 16-91 RE: EXTENSION OF IRA DEADLINE FOR DESERT STORM PERSONNEL __________________________________________________________ Attached is a copy of IRS News Release IR-91-46 which provides that taxpayers who served in Operation Desert Storm may make...
April 15, 1991 TO: BOARD OF GOVERNORS NO. 23-91 STATE SECURITIES MEMBERS NO. 16-91 RE: NEBRASKA AMENDS INDEFINITE REGISTRATION PROVISIONS __________________________________________________________ The Institute is pleased to inform you that legislation amending Nebraska's indefinite...
April 15, 1991 TO: TAX COMMITTEE NO. 10-91 MEMBERS - ONE PER COMPLEX NO. 16-91 RE: IRS PAPER REGARDING TREATMENT OF EXPENSES OF ORGANIZING FUNDS __________________________________________________________ Currently the Internal Revenue Service is auditing the tax returns of several...
April 12, 1991 TO: CONTRACTUAL PLANS COMMITTEE NO. 6-91 RE: NOTICE OF MEETING - MAY 22, 1991 SECOND REQUEST - PLEASE RESPOND __________________________________________________________ This is to advise you that there will be a Contractual Plans Committee meeting at the Ramada...
April 12, 1991 TO: INVESTMENT ADVISER MEMBERS NO. 14-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 15-91 RE: INSTITUTE COMMENT LETTER ON THE AGENDA FOR THE ANNUAL CONFERENCE ON UNIFORMITY OF SECURITIES LAWS __________________________________________________________ Every year the...
April 12, 1991 TO: RESEARCH COMMITTEE NO. 9-91 RE: UPCOMING MEETINGS @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ This is a reminder of upcoming meetings scheduled for the Research Committee and its two subcommittees in the next two months. April 30 New York Planning...
April 12, 1991 TO: BOARD OF GOVERNORS NO. 22-91 STATE SECURITIES MEMBERS NO. 15-91 SEC RULES COMMITTEE NO. 22-91 UNIT INVESTMENT TRUST COMMITTEE NO. 15-91 RE: INSTITUTE COMMENT LETTER ON 1991 CONFERENCE ON FEDERAL- STATE SECURITIES REGULATION __________________________________________...
April 12, 1991 TO: SMALL FUNDS MEMBERS NO. 6-91 RE: NOTICE OF COMMITTEE MEETING - MAY 22, 1991 SECOND REQUEST - PLEASE REPLY __________________________________________________________ This is to inform you that a Small Fund* Committee Meeting has been scheduled for Wednesday, May 22...
April 11, 1991 TO: INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 4-91 RE: NOTICE OF ONE AND ONE-HALF DAY MEETING - JUNE 6-7, 1991 SECOND REQUEST - PLEASE REPLY __________________________________________________________ This is to advise you of a one and one-half day meeting of the...
April 10, 1991 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 19-91 RE: STATUS OF COMMITTEE PROJECTS __________________________________________________________ The status of each of the Transfer Agent Advisory Committee's (TAAC) projects, as reported at the March 5, 1991 meeting, are...
