February 14, 1991 TO: SEC RULES MEMBERS NO. 10-91 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 4-91 SMALL FUNDS MEMBERS NO. 1-91 MONEY MARKET FUNDS AD HOC COMMITTEE NO. 5-91 ACCOUNTING/TREASURERS MEMBERS NO. 4-91 RE: CONFERENCE ON MONEY MARKET FUND REGULATION ___________________________...
1 * "Modernizing the Financial System, Recommendations for Safer, More Competitive Banks," February 1991, U.S. Treasury Department. February 13, 1991 TO: BOARD OF GOVERNORS NO. 11-91 FEDERAL LEGISLATION MEMBERS NO. 3-91 FEDERAL LEGISLATION COMMITTEE NO. 4-91 RE: EARLY ACTIVITY ON...
THIS SUMMARY IS BASED ON MY NOTES FROM THE MEETING AND, THUS, MAY DIFFER SLIGHTLY FROM THE ADOPTED CHANGES. February 13, 1991 TO: MONEY MARKET FUNDS AD HOC COMMITTEE NO. 3-91 RE: SEC ADOPTION OF AMENDMENTS TO MONEY MARKET FUND RULES ____________________________________________________...
February 13, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 6-91 SEC RULES MEMBERS NO. 9-91 CLOSED-END FUND MEMBERS NO. 7-91 UNIT INVESTMENT TRUST MEMBERS NO. 6-91 RE: PRESIDENT’S BUDGET CONTAINS SEC REGISTRATION FEE INCREASE __________________________________________________________ The Bush...
- 1 - February 13, 1991 TO: PENSION COMMITTEE NO. 3-91 RE: ERISA REPORTING AND DISCLOSURE REQUIREMENTS __________________________________________________________ As we discussed at the last Pension Committee meeting, the Department of Labor is considering revising the reporting and...
February 13, 1991 TO: MONEY MARKET FUNDS AD HOC COMMITTEE NO. 4-91 RE: AMENDMENTS TO RULE 2a-7; DRAFT LETTER ON TAX-EXEMPT MONEY MARKET FUND PROPOSAL; FEBRUARY 28 MEETING __________________________________________________________ At an open meeting today, the SEC adopted amendments to...
February 12, 1991 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 2-91 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: NOTICE OF MEETING - MARCH 26, 1991 __________________________________________________________ This is to advise you that there will be a meeting of the joint ACCOUNTING/TREASURERS...
February 12, 1991 TO: TAX MEMBERS NO. 3-91 OPERATIONS MEMBERS NO. 4-91 CLOSED-END FUND MEMBERS NO. 6-91 UNIT INVESTMENT TRUST MEMBERS NO. 5-91 ACCOUNTING/TREASURERS COMMITTEE NO. 1-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 6-91 RE: IRS REVENUE PROCEDURE ON MAGNETIC FILING OF FORM 1042S...
- 1 - February 11, 1991 TO: TAX COMMITTEE NO. 3-91 OPERATIONS COMMITTEE NO. 4-91 CLOSED-END FUND COMMITTEE NO. 3-91 UNIT INVESTMENT TRUST COMMITTEE NO. 7-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 5-91 RE: INSTITUTE COMMENTS ON PROPOSED INFORMATION REPORTING AND BACKUP WITHHOLDING...
February 11, 1991 TO: MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 3-91 RE: RHODE ISLAND CREDIT UNION BAIL OUT TO BE FINANCED OUT OF GENERAL SALES TAX __________________________________________________________ Last Friday, February 11, the Governor of Rhode Island signed into law a...
February 11, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 4-91 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING JANUARY, 1991 __________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending January, 1991. We will...
February 11, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 5-91 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGEMENT STATUS REPORT __________________________________________________________ Enclosed is a copy of the Registration Status Report as of January 31...
February 8, 1991 TO: DIRECT MARKETING COMMITTEE NO. 5-91 RE: MINUTES OF MEETING HELD JANUARY 16 __________________________________________________________ For your information, here are the minutes of the Direct Marketing Committee meeting, which was held on January 16, 1991 in Miami...
February 8, 1991 TO: PENSION MEMBERS NO. 7-91 INVESTMENT COMPANY INSTITUTE PROTOTYPE PLAN MASS SUBMITTERS RE: REVISED PROCEDURES FOR ISSUING DETERMINATION LETTERS ON QUALIFIED STATUS OF EMPLOYEE PLANS __________________________________________________________ Attached is Rev. Proc. 91...
February 7, 1991 TO: SEC RULES MEMBERS NO. 8-91 ACCOUNTING/TREASURERS MEMBERS NO. 3-91 RE: SEC STAFF ACCOUNTING BULLETIN FOR FORMER CLIENTS OF LAVENTHOL AND HORWATH __________________________________________________________ Laventhol & Horwath (L&H), a public accounting firm, filed...
February 7, 1991 TO: TAX MEMBERS NO. 2-91 INTERNATIONAL FUNDS TASK FORCE NO. 1-91 RE: RIC GRANTED EXTENSION TO MAKE RETROACTIVE QEF ELECTION FOR TWO PFICs __________________________________________________________ The attached letter ruling involves a request under Treasury Regulation...
February 7, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 5-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 6-91 BROKER/DEALER ASSOCIATE MEMBERS NO. 1-91 STANDING COMMITTEE MEMBERS VOTING OFFICERS RE: 1991 ICI Membership Directory __________________________________________________________...
BY FAX February 6, 1991 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 4-91 RE: POSSIBLE LEGISLATION ON SHAREHOLDER BASIS REPORTING __________________________________________________________ As you may know, a "simplification" proposal was advanced last year to require investment companies...
February 6, 1991 TO: SEC RULES COMMITTEE NO. 11-91 RE: SEC STAFF POSITIONS ON DISCLOSURE LIMITING LIABILITY OF FUND ACTING ON TELEPHONE REDEMPTION INSTRUCTIONS AND ON LIQUIDITY OF MUNICIPAL LEASE SECURITIES __________________________________________________________ A. Disclosure...
February 6, 1991 TO: BOARD OF GOVERNORS NO. 10-91 RE: ADMINISTRATION PROPOSAL FOR MODERNIZING THE FINANCIAL SYSTEM __________________________________________________________ On February 5, 1991, the Administration released its proposal to reform the deposit insurance system and...
February 5, 1991 TO: SEC RULES COMMITTEE NO. 10-91 INVESTMENT ADVISERS COMMITTEE NO. 5-91 RE: LEGISLATION INTRODUCED TO AMEND NEW JERSEY CASINO CONTROL ACT __________________________________________________________ As we previously informed you, in 1989 the New Jersey Casino...
February 4, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 4-91 SEC RULES MEMBERS NO. 6-91 RE: 1991 SEC FILINGS WORKSHOPS: REMINDER AND DRAFT AGENDA __________________________________________________________ As we previously informed you, the Institute will conduct workshops on SEC filings...
February 4, 1991 TO: BOARD OF GOVERNORS NO. 9-91 CLOSED-END FUND MEMBERS NO. 5-91 CLOSED-END FUND DIVISIONAL COMMITTEE RE: INSTITUTE LETTER TO SEC STAFF TO CLARIFY HYBRID FUND PROPOSAL __________________________________________________________ The Institute submitted the attached...
February 4, 1991 TO: PENSION MEMBERS NO. 6-91 MEMBERS - ONE PER COMPLEX NO. 3-91 OPERATIONS MEMBERS NO. 3-91 RE: 1991 PENSION WORKSHOPS __________________________________________________________ As we previously informed you, the Institute will hold a series of workshops on pension...
