January 10, 1991 TO: BOARD OF GOVERNORS NO. 5-91 RE: PROPOSED MINUTES OF OCTOBER 4, 1990 MEETING __________________________________________________________ Attached hereto is a copy of the minutes of the October 4, 1990 meeting which are proposed to be presented to the Board of...
January 10, 1991 TO: INSURANCE COMPANY-DTC-FUND/SERV ADVISORY COMMITTEE NO. 2-91 RE: MEETING AGENDA - FEBRUARY 21, 1991 __________________________________________________________ Attached is the agenda for the meeting of the INSURANCE COMPANY-DTC-FUND/SERV ADVISORY COMMITTEE which...
January 10, 1991 TO: BOARD OF GOVERNORS NO. 6-91 RE: Institute By-Law Amendment Regarding UIT Dues Formula __________________________________________________________ Attached is a resolution describing amendments to Sections 4(a) and 4(b) of Article V of the Institute’s corporate by...
January 10, 1991 TO: MARKETING COMMITTEE NO. 3-91 DIRECT MARKETING COMMITTEE NO. 2-91 SALES FORCE MARKETING COMMITTEE NO. 2-91 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 2-91 PUBLIC INFORMATION COMMITTEE NO. 2-91 RESEARCH COMMITTEE NO. 3-91 SMALL FUNDS COMMITTEE NO. 1-91 MEMBERS...
January 10, 1991 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 2-91 RE: USE OF LONG TERM PERFORMANCE FIGURES ON SECONDARY TRUSTS __________________________________________________________ As you know, all members of the Unit Investment Trust Committee’s Subcommittee on Yield intend to begin...
January 9, 1991 TO: NETWORKING INDEMNIFICATION TASK FORCE NO. 1-91 RE: NOTICE OF MEETING - FEBRUARY 12, 1991 __________________________________________________________ A meeting of the task force is scheduled for Tuesday, February 12, 1991 at 10:00 a.m. in the 6th floor board room of...
January 9, 1991 TO: BOARD OF GOVERNORS NO. 4-91 FEDERAL LEGISLATION MEMBERS NO. 1-91 FEDERAL LEGISLATION COMMITTEE NO. 1-91 RE: BREEDEN TESTIMONY BEFORE SENATE BANKING COMMITTEE: INVESTMENT MANAGEMENT INUDSTRY; MONEY FUND INSPECTIONS; RULE 2a-7; FINANCIAL SERVICES DEREGULATION _______...
January 9, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 1-91 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING DECEMBER, 1990 _________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending December, 1990. We will...
January 8, 1991 TO: OPERATIONS COMMITTEE NO. 1-91 RE: NOTICE OF MEETING - MARCH 9, 1991 __________________________________________________________ This is to advise you that there will be a breakfast meeting of the Operations Committee starting at 8:30 a.m. on Saturday, March 9, 1991...
January 8, 1991 TO: STATE SECURITIES MEMBERS NO. 3-91 RE: WISCONSIN ADOPTS RULE EXCLUDING 144A SECURITIES FROM TEN PERCENT INVESTMENT LIMITATION __________________________________________________________ The Institute wrote the Wisconsin Securities Commissioner requesting that the...
January 8, 1991 TO: STATE SECURITIES MEMBERS NO. 4-91 UNIT INVESTMENT TRUST MEMBERS NO. 1-91 RE: MICHIGAN REVISES FORMS FOR CLAIMING BLUE CHIP EXEMPTION OR FOR REPORTING SALES __________________________________________________________ The Michigan Corporation and Securities Bureau has...
January 8, 1991 TO: BOARD OF GOVERNORS NO. 3-91 RE: January Board of Governors Meeting __________________________________________________________ Attached is confirmation of your attendance for the January Board of Governors meeting at the Mauna Kea Hotel in Hawaii. Also enclosed is a...
January 7, 1991 TO: INSURANCE COMPANY-DTC-FUND/SERV ADVISORY COMMITTEE NO. 1-91 RE: NOTICE OF MEETING - FEBRUARY 21, 1991 SECOND REQUEST - PLEASE REPLY __________________________________________________________ This is to confirm that there will be a meeting of the INSURANCE COMPANY...
January 7, 1991 TO: SEC RULES COMMITTEE NO. 4-91 RE: ARIZONA DISCLOSURE FOR HIGH YIELD BOND FUNDS __________________________________________________________ The Institute was informed recently that the Arizona Securities Division was requiring certain investment companies investing in...
January 4, 1991 TO: BOARD OF GOVERNORS NO. 2-91 SEC RULES COMMITTEE NO. 3-91 1990s AD HOC COMMITTEE RE: INSTITUTE SUPPLEMENTAL MEMORANDA REGARDING REFORM OF REGULATION OF INVESTMENT COMPANIES __________________________________________________________ As you know, last October the...
January 4, 1991 TO: STATE SECURITIES MEMBERS NO. 1-91 RE: MAINE REVISES RENEWAL PROCEDURE __________________________________________________________ The Institute has recently been advised that the Maine Securities Division has revised its renewal procedure for investment company...
January 4, 1991 TO: STATE SECURITIES MEMBERS NO. 2-91 STATE LIAISON COMMITTEE NO. 2-91 RE: ARIZONA DISCLOSURE FOR HIGH YIELD BOND FUNDS __________________________________________________________ The Institute was informed recently that the Arizona Securities Division was requiring...
January 4, 1991 TO: BOARD OF GOVERNORS NO. 1-91 SEC RULES COMMITTEE NO. 2-91 UNIT INVESTMENT TRUST COMMITTEE NO. 1-91 RE: INSTITUTE REQUESTS EXEMPTION FOR MUTUAL FUND AND UNIT INVESTMENT TRUST UNDERWRITERS FROM RECORDKEEPING AND REPORTING REQUIREMENTS UNDER THE MARKET REFORM ACT _____...
January 4, 1991 TO: STATE LIAISON COMMITTEE NO. 1-91 RE: INSTITUTE COMMENTS ON PROPOSED TEXAS RULE __________________________________________________________ As we previously informed you, the Texas State Securities Board recently proposed for public comment an amendment to Section...
January 3, 1991 TO: MARKETING COMMITTEE NO. 2-91 RE: MEETING, TUESDAY, JANUARY 8, 1991 __________________________________________________________ Attached is a final agenda for the January 8, 1991 meeting. The meeting will be held in the Institute offices, 1600 M Street, NW, Suite 600...
January 3, 1991 TO: CLOSED-END FUND COMMITTEE NO. 1-91 RE: NOTICE OF MEETING, FEBRUARY 5, 1991 __________________________________________________________ A meeting of the Closed-End Fund Committee has been scheduled for 10:00 a.m. on Tuesday, February 5, 1991. The meeting will be held...
January 2, 1991 TO: DIRECT MARKETING COMMITTEE NO. 1-91 MARKETING COMMITTEE NO. 1-91 PUBLIC INFORMATION COMMITTEE NO. 1-91 RESEARCH COMMITTEE NO. 1-91 SALES FORCE MARKETING COMMITTEE NO. 1-91 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 1-91 RE: JOINT COMMITTEE MEETINGS, JANUARY 16-18...
January 2, 1991 TO: INVESTMENT ADVISER MEMBERS NO. 1-91 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 1-91 RE: EXTENSION OF TIME TO REGISTER IN ALABAMA __________________________________________________________ As we previously informed you, the State of Alabama required registration of...
January 2, 1991 TO: INVESTMENT ADVISERS COMMITTEE NO. 1-91 RE: PRELIMINARY AGENDA FOR THE INVESTMENT ADVISERS COMMITTEE MEETING -- JANUARY 23, 1991 __________________________________________________________ Attached is a copy of the agenda for the Investment Advisers Committee meeting...
