January 2, 1991 TO: SEC RULES COMMITTEE NO. 1-91 RE: DRAFT AGENDA FOR JANUARY 10 MEETING __________________________________________________________ Attached for your information is a draft agenda for the January 10 meeting of the SEC Rules Committee. The meeting will be held at the...
January 2, 1991 TO: MEMBERS - ONE PER COMPLEX NO. 1-91 SEC RULES MEMBERS NO. 1-91 RE: 1991 SEC FILINGS WORKSHOP __________________________________________________________ The Institute will conduct workshops on SEC filings in three locations this year. The workshops will address the...
December 28, 1990 TO: STATE LIAISON COMMITTEE NO. 30-90 RE: NOTICE OF MEETING - JANUARY 23, 1991 __________________________________________________________ The State Liaison Committee meeting has been scheduled for 1:30 p.m. on Wednesday, January 23, 1991. The meeting will be held at...
December 28, 1990 TO: STATE SECURITIES MEMBERS NO. 36-90 RE: VERMONT TO REQUIRE SEPARATE REGISTRATION FOR EACH PORTFOLIO __________________________________________________________ The Institute has recently been advised that the Vermont Department of Banking, Insurance & Securities...
December 28, 1990 TO: CONTRACTUAL PLANS COMMITTEE NO. 14-90 RE: NORTH CAROLINA TO ADMINISTRATIVELY DENY REGISTRATION TO CONTRACTUAL PLANS __________________________________________________________ The Institute has been informed by the Deputy Securities Administrator of the North...
December 27, 1990 TO: UNIT INVESTMENT TRUST MEMBERS NO. 80-90 RE: CALIFORNIA ADOPTS RESALE EXEMPTION FOR UNIT TRUSTS __________________________________________________________ The Institute is pleased to inform you that the California Corporations Commission has adopted a regulation...
December 27, 1990 TO: PENSION COMMITTEE NO. 31-90 RE: PRELIMINARY AGENDA FOR PENSION COMMITTEE MEETING - JANUARY 8, 1991 __________________________________________________________ Attached is a copy of the agenda for the Pension Committee meeting on Tuesday, January 8, 1991 at 1:30 p...
December 26, 1990 TO: TAX COMMITTEE NO. 37-90 RE: AGENDA FOR TAX COMMITTEE MEETING - JANUARY 8, 1991 __________________________________________________________ Attached is a copy of the agenda for the Tax Committee meeting on Tuesday, January 8, 1991 at 10:00 a.m. The meeting will be...
December 26, 1990 TO: TAX COMMITTEE NO. 38-90 INSTITUTIONAL FUNDS COMMITTEE NO. 6-90 RE: INSTITUTE TESTIMONY ON PROPOSED INTERNAL REVENUE SERVICE NUCLEAR DECOMMISSIONING REGULATIONS __________________________________________________________ On December 20, 1990 the Institute testified...
- 1 - December 26, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 47-90 RE: IDAHO RESPONDS TO INSTITUTE LEGISLATIVE RECOMMENDATIONS __________________________________________________________ As we previously informed you, the Idaho Securities Commission has been circulating proposed...
December 26, 1990 TO: PUBLIC INFORMATION COMMITTEE NO. 43-90 RE: Updated TV-Radio Contact List __________________________________________________________ Here is the latest update of our TV-Radio contact list. This is not meant to be a comprehensive list of all TV and radio stations...
December 24, 1990 TO: TAX COMMITTEE NO. 36-90 OPERATIONS COMMITTEE NO. 29-90 TRANSFER AGENT ADVISORY COMMITTEE NO. 56-90 RE: TIMING OF SECOND B NOTICE AND PENALTY NOTICE MAILINGS __________________________________________________________ At a recent meeting of the Transfer Agent...
December 24, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 46-90 RE: DEFINITION OF "FINANCIAL PLANNER" __________________________________________________________ The Industry Advisory Committee to the NASAA Financial Planners/Investment Adviser Committee has been asked to develop a...
December 24, 1990 TO: PUBLIC INFORMATION COMMITTEE NO. 42-90 RE: Transmission of September Minutes and Information on January 1991 Meeting __________________________________________________________ 1. Attached is the preliminary agenda for the Public Information Committee meeting of...
December 24, 1990 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 40-90 BROKER/DEALER ADVISORY COMMITTEE NO. 49-90 TRANSFER AGENT ADVISORY COMMITTEE NO. 57-90 GROUP OF THIRTY TASK FORCE RE: EFFECTS TO MUTUAL FUND INDUSTRY OF PROPOSED CHANGES TO U.S. SETTLEMENT PRACTICES ______________________...
- 1 - December 24, 1990 TO: PENSION MEMBERS NO. 43-90 MEMBERS - ONE PER COMPLEX NO. 53-90 RE: 1991 PENSION WORKSHOPS __________________________________________________________ The Institute will hold a series of workshops on pension issues for members in different regions of the...
December 24, 1990 TO: TAX COMMITTEE NO. 35-90 ACCOUNTING/TREASURERS COMMITTEE NO. 39-90 RE: JANUARY 7, 1990 MEETING TO DISCUSS UNIFICATION OF DISTRIBUTION REQUIREMENTS __________________________________________________________ As you may know, last year a Subcommittee of the Tax and...
December 21, 1990 TO: TAX MEMBERS NO. 58-90 RE: IRS ANNOUNCES THAT APPLICATION OF NEW REPORTING REGULATIONS FOR MONETARY INSTRUMENTS WILL BE PROSPECTIVE ONLY __________________________________________________________ As you may know, the Revenue Reconciliation Act of 1990 (the "Act")...
December 21, 1990 TO: TAX MEMBERS NO. 59-90 RE: THIRD CIRCUIT AFFIRMS TAX COURT DECISION THAT EXPENSES OF A FRIENDLY REORGANIZATION ARE NONDEDUCTIBLE __________________________________________________________ The attached decision of the Third Circuit Court of Appeals affirms a Tax...
December 21, 1990 TO: TAX COMMITTEE NO. 34-90 MONEY MARKET FUNDS AD HOC COMMITTEE NO. 7-90 RE: JANUARY 16, 1991 MEETING ON TAX ISSUES INVOLVING VARIABLE RATE TRUST CERTIFICATES __________________________________________________________ As you may know, new derivative products such as...
December 21, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 45-90 RE: INSTITUTE REQUESTS SERIES 24 WAIVER IN NEBRASKA FOR CFAs __________________________________________________________ Attached is a copy of the Institute's letter to the Nebraska Bureau of Securities requesting exemption...
December 20, 1990 TO: INSURANCE COMPANY-DTC-FUND/SERV ADVISORY COMMITTEE NO. 10-90 RE: NOTICE OF MEETING - FEBRUARY 21, 1990 __________________________________________________________ This is to notify you that there will be a meeting of the INSURANCE COMPANY-DTC-FUND/SERV ADVISORY...
- 1 - December 20, 1990 TO: UNIT INVESTMENT TRUST MEMBERS NO. 78-90 RE: MASSACHUSETTS REDUCES REGISTRATION FEE FOR UNIT TRUSTS __________________________________________________________ As we previously informed you, earlier this year the Massachusetts Securities Division re...
- 1 - December 20, 1990 TO: TAX MEMBERS NO. 57-90 ACCOUNTING/TREASURERS MEMBERS NO. 30-90 CLOSED-END FUND MEMBERS NO. 51-90 UNIT INVESTMENT TRUST MEMBERS NO. 77-90 RE: IRS POSTPONES NEW FILING REQUIREMENTS FOR FORM 5452 (CORPORATE REPORT OF NONDIVIDEND DISTRIBUTIONS) _________________...
December 20, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 43-90 RE: NOTICE OF MEETING, JANUARY 23, 1991 __________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for Wednesday, January 23, 1991 at 10:00 a.m. at the...
