December 20, 1990 TO: STATE SECURITIES MEMBERS NO. 35-90 UNIT INVESTMENT TRUST MEMBERS NO. 79-90 RE: PENNSYLVANIA REINSTATES REGISTRATION FEE CAP __________________________________________________________ As we previously informed you, legislation was enacted in Pennsylvania...
December 20, 1990 TO: SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 30-90 RE: Agenda for Next Meeting; Minutes of Last Meeting __________________________________________________________ Enclosed, along with the minutes of the Fall 1990 meeting, is a preliminary agenda for the upcoming...
- 1 - December 20, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 44-90 RE: RHODE ISLAND RE-PROPOSES ADVISER RULES; ALABAMA RESPONDS TO INSTITUTE REQUEST; CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION PROVIDES INTERIM ADVICE __________________________________________________________ I...
December 19, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 48-90 RE: MUTUAL FUNDS STATUS REPORT FOR MONTH ENDING NOVEMBER, 1990 __________________________________________________________ Attached is a copy of the Mutual Funds Status Report for the month ending November, 1990. We will...
December 18, 1990 TO: STATE SECURITIES MEMBERS NO. 34-90 SEC RULES COMMITTEE NO. 66-90 RE: WISCONSIN TO REQUIRE PRIOR NOTICE TO SHAREHOLDERS IF FUND CHANGES PRIMARY INVESTMENT OBJECTIVE __________________________________________________________ As we previously informed you, the staff...
December 18, 1990 TO: PENSION MEMBERS NO. 42-90 OPERATIONS MEMBERS NO. 37-90 UNIT INVESTMENT TRUST MEMBERS NO. 76-90 TRANSFER AGENT ADVISORY COMMITTEE NO. 55-90 RE: IRS FORM 5498 FOR 1991 AND 1990 FORM 5329 __________________________________________________________ Attached is a copy...
December 18, 1990 TO: MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 19-90 TAX MEMBERS NO. 56-90 RE: NEBRASKA COURT STRIKES DOWN 80 PERCENT MINIMUM ASSET REQUIREMENT FOR PASS-THROUGH TREATMENT OF FEDERAL OBLIGATION INTEREST __________________________________________________________ A...
December 18, 1990 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 54-90 RE: POSTAL SERVICE RULE CHANGE __________________________________________________________ As you know, at the Transfer Agent Advisory Committee meeting on December 5th we requested your critique of our comments to the U...
December 17, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 42-90 RE: INSTITUTE REQUESTS RELIEF IN ALABAMA __________________________________________________________ As we previously informed you, investment advisers and investment adviser representatives must be registered in Alabama by...
December 17, 1990 TO: RESEARCH COMMITTEE NO. 28-90 RE: PROGRAM FOR JANUARY MEETING @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ This is a reminder that our next meetings of the Research Committee will be held in Miami on January 16 and 17, 1991. Place: Doral Ocean...
December 17, 1990 TO: PENSION MEMBERS NO. 41-90 INVESTMENT ADVISER MEMBERS NO. 56-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 52-90 RE: PAYMENT OF ADVISER FEES FROM 403(b) ACCOUNTS __________________________________________________________ As we previously informed you, the Internal...
December 17, 1990 TO: MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 18-90 RE: COMMERCIAL PAPER HOLDINGS __________________________________________________________ The SEC has asked the Institute to collect information on taxable money market fund commercial paper holdings to assist them...
December 17, 1990 TO: SEC RULES COMMITTEE NO. 64-90 RE: NOTICE OF MEETING - JANUARY 10, 1991 __________________________________________________________ The SEC Rules Committee meeting has been scheduled for Thursday, January 10, 1991 at 10:00 a.m. The meeting will be held at the...
- 1 - December 17, 1990 TO: TAX COMMITTEE NO. 33-90 OPERATIONS COMMITTEE NO. 28-90 CLOSED-END FUND COMMITTEE NO. 28-90 UNIT INVESTMENT TRUST COMMITTEE NO. 55-90 TRANSFER AGENT ADVISORY COMMITTEE NO. 53-90 RE: INSTITUTE LETTER ON THE REASONABLE CAUSE WAIVER OF INTERNAL REVENUE CODE...
December 14, 1990 TO: DIRECT MARKETING COMMITTEE NO. 30-90 PUBLIC INFORMATION COMMITTEE NO. 41-90 SALES FORCE MARKETING COMMITTEE NO. 31-90 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 29-90 RE: Memo on Newspaper Yield Tables __________________________________________________________ We...
December 14, 1990 TO: MEMBERS - ONE PER COMPLEX NO. 52-90 OPERATIONS MEMBERS NO. 36-90 ACCOUNTING/TREASURERS MEMBERS NO. 29-90 RE: EARLY CLOSING OF PRIMARY MARKETS ON DECEMBER 24, 1990 __________________________________________________________ A number of fund groups have contacted...
December 14, 1990 TO: PUBLIC INFORMATION COMMITTEE NO. 40-90 RE: Articles on Journalism __________________________________________________________ We thought you would find these two articles to be of interest. Best regards, Erick Kanter
- 1 - December 13, 1990 TO: TAX MEMBERS NO. 55-90 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 17-90 RE: INSTITUTE RULING REQUEST ON CALIFORNIA PASS-THROUGH TREATMENT OF U.S. TERRITORY AND AGENCY OBLIGATIONS __________________________________________________________ As we recently...
December 13, 1990 TO: PENSION COMMITTEE NO. 30-90 RE: 1990 SURVEYS OF STATE INCOME TAXATION __________________________________________________________ As you know, the Institute surveys the states and the district of Columbia annually on a variety of tax issues. Attached are four...
December 13, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 41-90 MAINE INVESTMENT ADVISER ASSOCIATE MEMBERS RE: EXAMINATION REQUIREMENTS FOR ADVISERS IN MAINE __________________________________________________________ As we previously informed you, the Maine Securities Division has...
December 11, 1990 TO: SALES FORCE MARKETING COMMITTEE NO. 30-90 RE: January 17 Meeting __________________________________________________________ Enclosed is a preliminary agenda for the January 17, 1991, meeting of the Sales Force Marketing Committee. Please feel free to call me or...
December 11, 1990 TO: PENSION MEMBERS NO. 39-90 OPERATIONS MEMBERS NO. 35-90 TRANSFER AGENT ADVISORY COMMITTEE NO. 51-90 RE: FINAL FORM 1099-R __________________________________________________________ As we previously informed you, the IRS combined Form W-2P and Form 1099-R beginning...
December 11, 1990 TO: PENSION MEMBERS NO. 40-90 RE: EXTENSION OF TAX REFORM ACT COMPLIANCE DEADLINES __________________________________________________________ Attached is a copy of IRS Notice 90-73 which the Internal Revenue Service recently released extending the remedial amendment...
