March 11, 1991 TO: PENSION MEMBERS NO. 9-91 OPERATIONS MEMBERS NO. 8-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 12-91 RE: INSTRUCTIONS FOR FORMS 1099, 1098, 5498 AND W-2G __________________________________________________________ Attached are the 1991 Instructions for Forms 1099, 1098...
March 8, 1991 TO: TAX COMMITTEE NO. 5-91 PENSION COMMITTEE NO. 7-91 RE: NOTICE OF MEETINGS, THURSDAY, APRIL 18, 1991 __________________________________________________________ The Tax and Pension Committee meetings have been scheduled for Thursday, April 18, 1991. The Tax Committee...
March 7, 1991 TO: MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 6-91 RE: RHODE ISLAND LEGISLATION INTRODUCED TO TAX MONEY MARKET FUNDS __________________________________________________________ House Bill 91-H6134 has been introduced in the Rhode Island Legislature that would amend the...
March 6, 1991 TO: TAX MEMBERS NO. 8-91 CLOSED-END FUND MEMBERS NO. 16-91 ACCOUNTING/TREASURERS MEMBERS NO. 8-91 RE: PROPOSED REGULATIONS ON TREATMENT OF DEBT INSTRUMENTS WITH CONTINGENT PAYMENTS ISSUED WITH ORIGINAL ISSUE DISCOUNT ______________________________________________________...
March 6, 1991 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 11-91 RE: Annual Information Survey __________________________________________________________ As in the past, we would like for you to take a few minutes to complete the enclosed survey. We need to update our information on...
March 6, 1991 TO: MONEY MARKET FUNDS AD HOC COMMITTEE NO. 7-91 RE: DRAFT LETTER ON TAX-EXEMPT PROPOSAL __________________________________________________________ Attached for your review is a draft letter to the SEC staff on the Committee’s proposals relating to tax-exempt money...
March 5, 1991 TO: SEC RULES MEMBERS NO. 19-91 STATE SECURITIES MEMBERS NO. 12-91 CLOSED-END FUND MEMBERS NO. 15-91 UNIT INVESTMENT TRUST MEMBERS NO. 11-91 RE: CALIFORNIA SECRETARY OF STATE TO CONTINUE TO ACCEPT ANTI-APARTHEID FILINGS ___________________________________________________...
March 5, 1991 TO: INVESTMENT ADVISER MEMBERS NO. 10-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 10-91 RE: NEBRASKA ALLOWS PAYMENT OF PERFORMANCE BASED FEES __________________________________________________________ Attached is a copy of recently promulgated regulations which allow for...
March 5, 1991 TO: SEC RULES MEMBERS NO. 17-91 RE: CLASS ACTION COMPLAINT ALLEGING OMISSION OF MATERIAL INFORMATION IN PROSPECTUS DISMISSED __________________________________________________________ The United States District Court for the Southern District of New York recently granted...
March 5, 1991 TO: PENSION MEMBERS NO. 8-91 RE: REVISED FORM W-4P __________________________________________________________ Attached is a copy of IRS Form W-4P, Withholding Certificate for Pension or Annuity Payments, which was revised for 1991. The form is used for recipients of...
March 5, 1991 TO: BOARD OF GOVERNORS NO. 15-91 STATE LIAISON COMMITTEE NO. 6-91 UNIT INVESTMENT TRUST COMMITTEE NO. 8-91 RE: INSTITUTE TO APPEAL ADVERSE DECISION IN MINNESOTA LAWSUIT __________________________________________________________ As you know, the Institute commenced a...
March 5, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 7-91 RE: VIRGINIA MULTIPLE REGISTRATION ISSUE RESOLVED; INSTITUTE COMMENTS ON NEW MEXICO RE-PROPOSED REGULATIONS __________________________________________________________ As we discussed at the Investment Advisers Committee meeting...
March 5, 1991 TO: SEC RULES MEMBERS NO. 18-91 CLOSED-END FUND MEMBERS NO. 14-91 RE: COURT ALLOWS CLAIMS ALLEGING MISLEADING DISCLOSURE FOR CLOSED-END HIGH YIELD BOND FUND TO PROCEED __________________________________________________________ In a recent case, the United States District...
March 8, 1991 TO: BOARD OF GOVERNORS NO. 16-91 EXECUTIVE COMMITTEE NO. 5-91 MEMBERS - ONE PER COMPLEX NO. 9-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 9-91 INVESTMENT ADVISER MEMBERS NO. 9-91 DIRECT MARKETING COMMITTEE NO. 7-91 MARKETING COMMITTEE NO. 8-91 PUBLIC INFORMATION...
March 5, 1991 TO: STATE SECURITIES MEMBERS NO. 11-91 RE: MASSACHUSETTS REVISED BUSINESS TRUSTS REPORT FORM __________________________________________________________ As we previously informed you, the Massachusetts Secretary of State revised its annual report form for Massachusetts...
March 4, 1991 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 3-91 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: NOTICE OF MEETING - MARCH 26, 1991 CONFIRMATION - PLEASE REPLY __________________________________________________________ This is to confirm that there will be a joint meeting of the...
- 1 - March 1, 1991 TO: PENSION COMMITTEE NO. 6-91 RE: DEPARTMENT OF LABOR PROPOSES EXEMPTION FOR "RELATIONSHIP BANKING" IRA AND KEOGH BENEFITS __________________________________________________________ The Department of Labor yesterday proposed a class exemption from the prohibited...
March 1, 1991 TO: INVESTMENT ADVISER MEMBERS NO. 8-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 8-91 RE: NASAA CONTRACTS FOR IMPROVED SERIES 65 EXAMINATION __________________________________________________________ In response to an Institute request for release of the Uniform...
March 1, 1991 TO: STATE LIAISON COMMITTEE NO. 5-91 CONTRACTUAL PLANS COMMITTEE NO. 2-91 RE: INSTITUTE COMMENTS ON NEW MEXICO REVISED PROPOSED RULES __________________________________________________________ As we previously informed you, for the past several months the New Mexico...
March 1, 1991 TO: SEC RULES MEMBERS NO. 16-91 RE: CHAIRMAN BREEDEN’S TESTIMONY CONCERNING APPROPRIATIONS FOR FISCAL YEAR 1992 __________________________________________________________ Attached for your information is a copy of SEC Chairman Richard Breeden’s recent testimony before...
March 1, 1991 TO: PUBLIC INFORMATION COMMITTEE NO. 6-91 RE: Print Media Contact List __________________________________________________________ Here is the latest update of our national print media contact list. This list is not designed to be a comprehensive mailing list. Instead it...
February 28, 1991 TO: SEC RULES MEMBERS NO. 15-91 CLOSED-END FUND MEMBERS NO. 13-91 RE: MUTUAL FUND TIMING SERVICE AND ITS PRINCIPAL VIOLATED SECTIONS 5(b)(1) AND 5(c) OF THE 1933 ACT IN CONNECTION WITH FORMATION OF MUTUAL FUND _________________________________________________________...
February 28, 1991 TO: STATE SECURITIES MEMBERS NO. 10-91 SEC RULES COMMITTEE NO. 15-91 RE: INSTITUTE RESPONDS TO NEW JERSEY DISCLOSURE CONCERNS __________________________________________________________ As we previously informed you, the Institute was advised that the New Jersey...
February 27, 1991 TO: SEC RULES MEMBERS NO. 14-91 STATE SECURITIES MEMBERS NO. 9-91 CLOSED-END FUND MEMBERS NO. 12-91 UNIT INVESTMENT TRUST MEMBERS NO. 10-91 RE: CALIFORNIA COURT OF APPEAL DECLARES PROPOSITION 105 UNCONSTITUTIONAL ______________________________________________________...
