January 23, 1991 TO: OPERATIONS COMMITTEE NO. 3-91 RE: CHECK AGING STUDY - MONTH OF MARCH, 1991 __________________________________________________________ At their September 17, 1990 meeting, the Operations Committee agreed to conduct a "checking aging" study of investors checks...
January 23, 1991 TO: OPERATIONS COMMITTEE NO. 2-91 RE: NOTICE OF MEETING - MARCH 9, 1991 SECOND REQUEST - PLEASE RESPOND _________________________________________________________ This is to advise you that there will be a breakfast meeting of the Operations Committee starting at 8:30...
January 22, 1991 TO: SEC RULES COMMITTEE NO. 7-91 RE: MEETING TO CONSIDER DEFINITION OF FOREIGN SECURITIES __________________________________________________________ At the January 10 meeting of the SEC Rules Committee, a question was raised regarding the definition of "foreign...
- 1 - January 22, 1991 TO: TAX MEMBERS NO. 1-91 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 1-91 RE: CALIFORNIA RULES THAT U.S. TERRITORY AND AGENCY OBLIGATIONS ARE ELIGIBLE FOR PASS-THROUGH TREATMENT __________________________________________________________ As we previously informed...
January 22, 1991 TO: CLOSED-END FUND COMMITTEE NO. 2-91 RE: AGENDA FOR FEBRUARY 5 MEETING __________________________________________________________ Attached is a draft agenda for the Closed-End Fund Committee meeting scheduled for February 5, 1991 at the Institute. I look forward to...
January 22, 1991 TO: STATE SECURITIES MEMBERS NO. 5-91 SEC RULES COMMITTEE NO. 6-91 RE: INSTITUTE COMMENTS ON ADDITIONAL ISSUES RAISED BY WISCONSIN STAFF REGARDING NON-FUNDAMENTAL OBJECTIVES __________________________________________________________ As we previously informed you, the...
January 22, 1991 TO: ACCOUNTING/TREASURERS MEMBERS NO. 1-91 CLOSED-END FUND MEMBERS NO. 2-91 OPERATIONS MEMBERS NO. 1-91 SEC RULES MEMBERS NO. 2-91 UNIT INVESTMENT TRUST MEMBERS NO. 2-91 RE: SEC STAFF ISSUES SECOND GENERIC COMMENT LETTER _______________________________________________...
January 18, 1991 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 4-91 RE: DRAFT NUVEEN LETTER TO DEALERS ON LONG-TERM YIELDS FOR SECONDARY TRUSTS __________________________________________________________ During the January 17 conference call among Committee members on quoting long-term yield...
January 18, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 3-91 RE: 1. SUMMARY OF DECEMBER 14, 1990 COMMITTEE MEETING 2. ICI COMMENT LETTER ON POSTAL SERVICE PROPOSAL 3. NSCC MEMORANDUM ON COMMISSION SETTLEMENT SERVICE __________________________________________________________ The...
January 16, 1991 TO: PENSION MEMBERS NO. 2-91 RE: PARTICIPANTS IN FROZEN PLANS INELIGIBLE FOR IRA DEDUCTION __________________________________________________________ As you are aware, individuals with incomes in excess of a certain level and who are active participants in a pension...
- 1 - January 16, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 2-91 MARYLAND INVESTMENT ADVISER ASSOCIATE MEMBERS MARYLAND INVESTMENT ADVISER MEMBERS RE: MARYLAND REPROPOSES REGULATIONS WITH FEE WAIVER __________________________________________________________ As we previously informed...
January 16, 1991 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 2-91 RE: STATUS OF VARIOUS PROJECTS __________________________________________________________ The status of each of the Advisory Committee’s projects is summarized below. 1. Confirmation Requirements Ralph Spuehler of...
January 16, 1991 TO: STATE LIAISON COMMITTEE NO. 3-91 RE: LEGISLATION INTRODUCED IN NEBRASKA TO AMEND INDEFINITE REGISTRATION PROVISION AND PROVIDE FEE RELIEF __________________________________________________________ As we previously informed you, the Institute submitted a memorandum...
January 15, 1991 TO: BOARD OF GOVERNORS NO. 8-91 RE: ADDITIONAL ICI COMMENT LETTERS ON INDEX PARTICIPATION PRODUCTS __________________________________________________________ The Institute recently has filed two more letters with the SEC commenting on proposed rules governing index...
January 15, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 2-91 RE: NOTICE OF MEETING - FEBRUARY 28, 1991 __________________________________________________________ This is to advise you that there will be a meeting of the Broker/Dealer Advisory Committee beginning at 8:30 a.m. on...
January 15, 1991 TO: BOARD OF GOVERNORS NO. 7-91 FEDERAL LEGISLATION COMMITTEE NO. 2-91 MONEY MARKET FUNDS AD HOC COMMITTEE NO. 2-91 SEC RULES COMMITTEE NO. 5-91 RE: SENATE BANKING COMMITTEE LETTER TO SEC CHAIRMAN BREEDEN ON AMENDMENTS TO RULE 2a-7, RELATING TO MONEY MARKET FUND...
January 15, 1991 TO: INVESTMENT ADVISER MEMBERS NO. 4-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 4-91 RE: RHODE ISLAND ISSUES REMAINING REGULATIONS __________________________________________________________ As we previously informed you, the Rhode Island Division of Securities issued...
January 14, 1991 TO: COMPLIANCE COMMITTEE NO. 1-91 RE: NOTICE OF MEETING, MARCH 5, 1991 __________________________________________________________ A meeting of the Compliance Committee has been scheduled for 10:00 a.m. on Tuesday, March 5, 1991. The meeting will be held in the...
January 14, 1991 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 3-91 RE: NOTICE OF MEETING, FEBRUARY 7, 1991 __________________________________________________________ A meeting of the Unit Investment Trust Committee has been scheduled for Thursday, February 7, 1991 at 10:00 a.m. in the...
January 14, 1991 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 1-91 RE: NOTICE OF MEETING - MARCH 5, 1991 __________________________________________________________ This is to notify you that there will be a meeting of the Transfer Agent Advisory Committee beginning at 9:30 a.m. on...
January 11, 1991 TO: MARKETING COMMITTEE NO. 4-91 RE: NEXT MEETING DATE __________________________________________________________ Due to an unavoidable schedule conflict, we have had to change the next meeting date to Tuesday, March 19, 1991 (10:00 am at the Institute). As discussed...
January 11, 1991 TO: INVESTMENT ADVISER MEMBERS NO. 3-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 3-91 RE: SEC NO-ACTION LETTER REQUIRES THIRD-PARTY ADVISERS ACTING AS SOLICITORS TO MEET REQUIREMENTS OF RULE 206(4)-3 __________________________________________________________ In the...
January 11, 1991 TO: TAX COMMITTEE NO. 1-91 MONEY MARKET FUNDS AD HOC COMMITTEE NO. 1-91 RE: FORMAT FOR JANUARY 16, 1991 MEETING ON TAX ISSUES INVOLVING VARIABLE RATE TRUST CERTIFICATES __________________________________________________________ As we previously informed you, a meeting...
January 11, 1991 TO: PENSION MEMBERS NO. 1-91 INVESTMENT ADVISER MEMBERS NO. 2-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 2-91 RE: COURT FINDS NO ERISA FIDUCIARY VIOLATION RESULTING FROM 1987 MARKET BREAK __________________________________________________________ The United States...
January 11, 1991 TO: CLOSED-END FUND MEMBERS NO. 1-91 RE: COURT DISMISSED CLAIM OF SECURITIES FRAUD REGARDING PROSPECTUS DISCLOSURE OF CLOSED-END FUND DISCOUNTS __________________________________________________________ The U.S. District Court for the Southern District of New York...
