April 10, 1991 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 6-91 RESPONDENTS TO EARLIER PFIC SURVEY TAX COMMITTEE NO. 9-91 RE: INFORMATION FOR PFIC REVENUE ESTIMATE AND TO UPDATE SURVEY __________________________________________________________ As you know, the Institute has been working...
April 9, 1991 TO: INTERNATIONAL COMMITTEE NO. 4-91 RE: GROUP OF THIRTY RECOMMENDATIONS __________________________________________________________ The Group of Thirty ("G30") is an independent, non- partisan, non-profit organization comprised of international financial leaders. The...
April 9, 1991 TO: STATE LIAISON COMMITTEE NO. 12-91 UNIT INVESTMENT TRUST COMMITTEE NO. 14-91 RE: MEETING SCHEDULED WITH NASAA TO DISCUSS ELECTRONIC FILING __________________________________________________________ As you are aware, the North American Securities Administrators...
1 */ California, Missouri, Nebraska, New Jersey, New Mexico, New York, South Carolina April 9, 1991 TO: TAX COMMITTEE NO. 8-91 RE: INSTITUTE LETTER TO STATES THAT IMPOSE THRESHOLD REQUIREMENT ON PASS-THROUGH TREATMENT __________________________________________________________ At its...
April 9, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 15-91 RE: CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION REVISES PROPOSED DISCLOSURE REQUIREMENTS __________________________________________________________ As we previously informed you, the California Fair Political Practices...
April 9, 1991 TO: SALES FORCE MARKETING COMMITTEE NO. 12-91 RE: SPRING COMMITTEE MEETING - APRIL 24, 1991 __________________________________________________________ Enclosed is a preliminary agenda for the next meeting of the Sales Force Marketing Committee on Wednesday, April 24, 2-5...
April 9, 1991 TO: OPERATIONS COMMITTEE NO. 11-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 18-91 RE: SURVEY RESULTS - CONFIRMATION PROCEDURES ON VOICE-INITIATED TRANSACTIONS __________________________________________________________ The Institute surveyed the Operations Committee and the...
April 9, 1991 TO: SEC RULES MEMBERS NO. 24-91 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 8-91 MONEY MARKET FUNDS AD HOC COMMITTEE NO. 10-91 RE: SEC PROPOSAL TO EXCLUDE TAX-EXEMPT MONEY MARKET FUNDS FROM BOARD OF DIRECTORS RATIFICATION REQUIREMENT ______________________________________...
April 8, 1991 TO: STATE SECURITIES MEMBERS NO. 14-91 SEC RULES COMMITTEE NO. 21-91 RE: INSTITUTE RECEIVES RESPONSE FROM NEW JERSEY REGARDING DISCLOSURE CONCERNS __________________________________________________________ As we previously informed you, the Institute responded to the New...
April 5, 1991 TO: OPERATIONS COMMITTEE NO. 10-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 17-91 RE: SHAREHOLDER CONFIRMATION SURVEY __________________________________________________________ As previously reported to the Committees, the Confirmation Requirements Task Force, chaired by...
April 5, 1991 TO: MARKETING COMMITTEE NO. 14-91 PUBLIC INFORMATION COMMITTEE NO. 13-91 RE: PRELIMINARY AGENDA APRIL 23, 1991 __________________________________________________________ 1. The Public Information Committee will meet at 9:30 am on Tuesday April 23 at the Madison Hotel...
April 5, 1991 TO: INDUSTRY STATISTICS COMMITTEE NO. 5-91 RE: MAY 7TH MEETING - VENDOR PRESENTATION @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ At the last meeting of the Industry Statistics Committee, March 27, 1991, many of you expressed an interest in a demonstration...
April 5, 1991 TO: SEC RULES COMMITTEE NO. 20-91 RE: DRAFT AGENDA FOR APRIL 16 MEETING __________________________________________________________ Attached for your information is a draft agenda for the April 16 meeting of the SEC Rules Committee. The meeting will be held at the Madison...
April 5, 1991 TO: STATE LIAISON COMMITTEE NO. 11-91 UNIT INVESTMENT TRUST COMMITTEE NO. 13-91 INVESTMENT ADVISERS COMMITTEE NO. 14-91 CONTRACTUAL PLANS COMMITTEE NO. 5-91 RE: NASAA UPDATE __________________________________________________________ During the past several months...
April 5, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 11-91 RE: CHANGE OF MEETING TIME - JUNE 13, 1991 __________________________________________________________ This is to notify you that the starting time for the meeting of the Broker/Dealer Advisory Committee scheduled for June 13...
April 4, 1991 TO: DIRECT MARKETING COMMITTEE NO. 12-91 PUBLIC INFORMATION COMMITTEE NO. 12-91 SALES FORCE MARKETING COMMITTEE NO. 11-91 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 10-91 RE: Possible Research Projects __________________________________________________________ Attached are...
April 4, 1991 TO: RESEARCH COMMITTEE NO. 8-91 INDUSTRY STATISTICS COMMITTEE NO. 4-91 DIRECT MARKETING COMMITTEE NO. 11-91 PUBLIC INFORMATION COMMITTEE NO. 11-91 SALES FORCE MARKETING COMMITTEE NO. 10-91 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 9-91 RE: ICI PERMANENT LONGITUDINAL PANEL...
April 4, 1991 TO: TAX MEMBERS NO. 10-91 OPERATIONS MEMBERS NO. 10-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 16-91 RE: IRS EXTENDS REPORTING DEADLINE FOR MAGNETICALLY FILED FORMS 1042S __________________________________________________________ The attached IRS announcement provides an...
April 3, 1991 TO: SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 8-91 RE: Agenda for Next Meeting; Minutes of Last Meeeting __________________________________________________________ Enclosed, along with the minutes of the Winter 1991 meeting, is a preliminary agenda for the upcoming Spring...
April 3, 1991 TO: SEC RULES COMMITTEE NO. 19-91 RE: DRAFT AGENDA FOR APRIL 19 MEETING __________________________________________________________ Attached for your information is a draft agenda for the April 19 meeting of the SEC Rules Committee. The meeting will be held at the Madison...
April 2, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 11-91 RE: RHODE ISLAND EXPANDS EXAMINATION ALTERNATIVES __________________________________________________________ As we previously informed you, applicants for licensing as investment adviser representatives in Rhode Island may...
April 2, 1991 TO: SEC RULES MEMBERS NO. 23-91 SMALL FUNDS MEMBERS NO. 5-91 RE: SEC DELEGATES AUTHORITY TO THE DIRECTOR OF THE DIVISION OF INVESTMENT MANAGEMENT TO GRANT RELIEF UNDER SECTION 9(c) __________________________________________________________ The SEC recently delegated to...
April 2, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 12-91 RE: DRAFT AGENDA FOR APRIL 16 MEETING __________________________________________________________ Attached is a draft agenda for the Investment Advisers Committee Meeting scheduled for April 16, 1991. The meeting will be held at...
April 1, 1991 TO: TAX COMMITTEE NO. 7-91 RE: PRELIMINARY AGENDA FOR TAX COMMITTEE MEETING -- THURSDAY, APRIL 18, 1991 __________________________________________________________ Attached is a copy of the preliminary agenda for the Tax Committee Meeting on Thursday, April 18, 1991. The...
