February 4, 1991 TO: PENSION COMMITTEE NO. 2-91 RE: PACKWOOD INTRODUCES PRIME RETIREMENT ACCOUNT ACT __________________________________________________________ As we anticipated at the last pension committee meeting, Senator Packwood introduced S. 318, the PRIME Retirement Account Act...
February 1, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 4-91 MARYLAND INVESTMENT ADVISER MEMBERS MARYLAND INVESTMENT ADVISER ASSOCIATE MEMBERS RE: INSTITUTE COMMENTS ON MARYLAND REPROPOSAL __________________________________________________________ As we previously informed you, the...
February 1, 1991 TO: MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 2-91 RE: NEW HAMPSHIRE BANKING COMMISSIONER CALLS FOR TAX ON MONEY MARKET FUNDS __________________________________________________________ As indicated in the attached article, the Banking Commissioner for the state of...
January 31, 1991 TO: SALES FORCE MARKETING COMMITTEE NO. 4-91 RE: Minutes, January 17, 1991 __________________________________________________________ Attached for your review are minutes of the January 17, 1991, meeting of the Sales Force Marketing Committee. Please let me know of...
January 31, 1991 TO: STATE SECURITIES MEMBERS NO. 7-91 SEC RULES COMMITTEE NO. 9-91 RE: INSTITUTE ASKS NEW JERSEY TO RECONSIDER REQUIRING DISTRIBUTION OF STATEMENT OF ADDITIONAL INFORMATION TO INVESTORS __________________________________________________________ The Institute was...
January 31, 1991 TO: SEC RULES MEMBERS NO. 5-91 RULE 12b-1 AD HOC COMMITTEE RE: SEC SOLICITS COMMENTS ON NASD PROPOSAL TO REQUIRE DISCLOSURE OF A DEFERRED SALES CHARGE ON CONFIRMATION STATEMENT __________________________________________________________ As we previously informed you...
January 31, 1991 TO: PENSION MEMBERS NO. 4-91 RE: REVISED PUBLICATION 571 AND FORM 5307 INSTRUCTIONS __________________________________________________________ Attached is Publication 571, Tax-Sheltered Annuity Programs for Employees of Public Schools and Certain Tax-Exempt...
January 31, 1991 TO: PENSION MEMBERS NO. 5-91 RE: 1990 FORM 5500EZ __________________________________________________________ Attached is Form 5500EZ, Annual Return of One-Participant (Owners and Their Spouses) Pension Benefit Plan, for 1990 plan year filings. As indicated in the...
January 30, 1991 TO: TAX COMMITTEE NO. 2-91 RE: INSTITUTE SUBMISSIONS ON IRS FORM 1116, COMPUTATION OF FOREIGN TAX CREDIT __________________________________________________________ Attached are two letters submitted by the Institute regarding proposals to simplify the reporting of...
January 30, 1991 TO: INVESTMENT ADVISER MEMBERS NO. 5-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 5-91 RE: PENNSYLVANIA ASSOCIATED PERSONS REQUIRED TO REGISTER __________________________________________________________ Attached are interim guidelines for registration of investment...
January 30, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 2-91 CLOSED-END FUND MEMBERS NO. 4-91 INVESTMENT ADVISER MEMBERS NO. 6-91 SEC RULES MEMBERS NO. 4-91 UNIT INVESTMENT TRUST MEMBERS NO. 4-91 RE: SUMMARY OF SEC NO-ACTION AND INTERPRETIVE LETTERS - SERIES 50 ____________________________...
January 30, 1991 TO: STATE SECURITIES MEMBERS NO. 6-91 RE: MASSACHUSETTS BUSINESS TRUST REPORT FORMS __________________________________________________________ The Institute has recently been advised that the Massachusetts Secretary of State has revised its annual report form for...
January 30, 1991 TO: ACCOUNTING/TREASURERS MEMBERS NO. 2-91 CLOSED-END FUND MEMBERS NO. 3-91 OPERATIONS MEMBERS NO. 2-91 SEC RULES MEMBERS NO. 3-91 UNIT INVESTMENT TRUST MEMBERS NO. 3-91 RE: CORRECTION TO MEMO ON GENERIC COMMENT LETTER _________________________________________________...
January 28, 1991 TO: NETWORKING INDEMNIFICATION TASK FORCE NO. 2-91 RE: MEETING DATED CHANGED __________________________________________________________ Due to an unforeseen scheduling conflict, the meeting set for Tuesday, February 12, 1991 has been moved to the following day...
January 28, 1991 TO: FEDERAL LEGISLATION MEMBERS NO. 2-91 FEDERAL LEGISLATION COMMITTEE NO. 3-91 RE: REPORT OF THE CHAIRMAN OF THE FEDERAL LEGISLATION COMMITTEE, JANUARY 1991 __________________________________________________________ Attached is a copy of the Report of the Chairman of...
January 25, 1991 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 3-91 RE: NOTICE OF MEETING - MARCH 5, 1991 SECOND REQUEST - PLEASE RESPOND __________________________________________________________ This is to confirm that there will be a meeting of the Transfer Agent Advisory Committee...
January 25, 1991 TO: STATE LIAISON COMMITTEE NO. 4-91 RE: PORTFOLIO REGISTRATION IN VERMONT __________________________________________________________ During the committee meeting, members of the State Liaison Committee expressed some confusion with respect to the Vermont Securities...
January 25, 1991 TO: SEC RULES COMMITTEE NO. 8-91 RE: PROPOSED AMENDMENTS TO CFTC RULE 4.5 __________________________________________________________ The Institute recently submitted to the Commodity Futures Trading Commission ("CFTC") the attached letter proposing amendments to CFTC...
January 25, 1991 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 6-91 RE: NEW MEXICO AMENDS PROPOSED REGULATIONS __________________________________________________________ As we previously informed you, last fall the New Mexico Securities Division proposed for comment a comprehensive revision...
January 25, 1991 TO: MARKETING COMMITTEE NO. 5-91 SALES FORCE MARKETING COMMITTEE NO. 3-91 DIRECT MARKETING COMMITTEE NO. 3-91 RE: BENTSEN PROPOSES UNIVERSAL "SUPER" IRA __________________________________________________________ Attached is a memorandum to the Institute’s Pension...
January 24, 1991 TO: PENSION COMMITTEE NO. 1-91 RE: BENTSEN PROPOSES UNIVERSAL "SUPER" IRA __________________________________________________________ Senator Lloyd Bentsen circulated the attached letter to his colleagues dated January 23, 1991 requesting Congressional support for...
January 24, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 3-91 NEW MEXICO INVESTMENT ADVISER ASSOCIATE MEMBERS NEW MEXICO INVESTMENT ADVISER MEMBERS RE: NEW MEXICO REPROPOSES REGULATIONS __________________________________________________________ As we discussed at the Investment Adviser...
January 24, 1991 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 5-91 RE: DRAFT AGENDA FOR FEBRUARY 7 MEETING __________________________________________________________ Attached is a draft agenda for the next meeting of the Unit Investment Trust Committee, scheduled for Thursday, February 7...
January 24, 1991 TO: CONTRACTUAL PLANS COMMITTEE NO. 1-91 RE: NEW MEXICO AMENDS PROPOSED REGULATIONS __________________________________________________________ As we previously informed you, the New Mexico Securities Division proposed regulations that would have denied the use of the...
January 24, 1991 TO: PENSION MEMBERS NO. 3-91 RE: 1991 COST OF LIVING ADJUSTMENTS __________________________________________________________ The Internal Revenue Service recently released the cost of living adjustments applicable to the dollar limitations on benefits, the limit on...
