November 9, 1990 TO: INVESTMENT ADVISER MEMBERS NO. 54-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 50-90 RE: SURETY BOND FORM FOR USE IN ALABAMA __________________________________________________________ For advisers who will be required to register in Alabama (see Institute...
November 9, 1990 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 49-90 RE: QUESTIONNAIRE ON INVESTMENT ADVISER E&O INSURANCE __________________________________________________________ Attached is a second request for completion of the E&O insurance survey on Investment Advisers. If you...
November 9, 1990 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 35-90 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: AGENDA SURVEY FOR DECEMBER 13 MEETING __________________________________________________________ Please complete the attached form with items you wish to have included on the...
November 9, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 40-90 RE: NOTICE OF MEETING - DECEMBER 14, 1990 __________________________________________________________ This is to advise you that there will be a meeting of the Broker/Dealer Advisory Committee starting at 8:30 a.m. on...
November 8, 1990 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 48-90 RE: INSTITUTE COMMENTS ON AMENDED CALIFORNIA PROPOSED RULE EXEMPTING RESALES OF UNITS OF UNIT INVESTMENT TRUSTS __________________________________________________________ As we previously informed you, the California...
November 8, 1990 TO: SEC RULES MEMBERS NO. 76-90 INVESTMENT ADVISER MEMBERS NO. 53-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 48-90 RE: SEC LETTER CLARIFYING THAT PRINCIPAL TRANSACTIONS ARE OUTSIDE THE SOFT DOLLAR SAFE HARBOR __________________________________________________________...
November 8, 1990 TO: STATE LIAISON COMMITTEE NO. 27-90 UNIT INVESTMENT TRUST COMMITTEE NO. 49-90 INVESTMENT ADVISERS COMMITTEE NO. 38-90 RE: INSTITUTE COMMENTS ON PROPOSED NEW MEXICO RULES __________________________________________________________ As we previously informed you, the...
November 7, 1990 TO: BOARD OF GOVERNORS NO. 79-90 MEMBERS - ONE PER COMPLEX NO. 50-90 DIRECT MARKETING COMMITTEE NO. 28-90 MARKETING COMMITTEE NO. 23-90 OPERATIONS COMMITTEE NO. 24-90 PUBLIC INFORMATION COMMITTEE NO. 39-90 RESEARCH COMMITTEE NO. 27-90 SALES FORCE MARKETING COMMITTEE...
November 7, 1990 TO: SEC RULES COMMITTEE NO. 58-90 INTERNATIONAL FUNDS TASK FORCE NO. 26-90 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED AMENDMENTS TO RULE 6c-9 __________________________________________________________ As we previously informed you, the SEC has proposed amendments...
November 6, 1990 TO: TAX COMMITTEE NO. 29-90 ACCOUNTING/TREASURERS COMMITTEE NO. 34-90 RE: ROSTENKOWSKI STATEMENT ON PFICS __________________________________________________________ As you may know, the Institute has proposed to the Treasury Department that regulated investment...
November 6, 1990 TO: MEMBERS - ONE PER COMPLEX NO. 49-90 CLOSED-END FUND MEMBERS NO. 43-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 47-90 INVESTMENT ADVISER MEMBERS NO. 52-90 OPERATIONS MEMBERS NO. 32-90 SEC RULES MEMBERS NO. 75-90 UNIT INVESTMENT TRUST MEMBERS NO. 71-90 ACCOUNTING...
November 6, 1990 TO: MONEY MARKET FUNDS AD HOC COMMITTEE NO. 4-90 RE: CANCELLATION OF NOVEMBER 12 MEETING __________________________________________________________ The meeting of the Ad Hoc Committee scheduled for November 12, 1990 has been cancelled and will be rescheduled for a...
*************************************************************** ***** NOTE - THIS MEMO WAS VOIDED AND WAS NEVER SENT TO MEMBERS DO NOT SEND THIS MEMO!!!!!!!!!!!! *************************************************************** November 6, 1990 TO: MONEY MARKET FUNDS AD HOC COMMITTEE NO...
November 5, 1990 TO: MONEY MARKET FUNDS AD HOC COMMITTEE NO. 2-90 RE: ATTENDANCE OF PORTFOLIO MANAGERS AT NOVEMBER 12 MEETING __________________________________________________________ In an effort to limit attendance and keep the meeting of the Committee scheduled on November 12...
November 2, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 37-90 RE: INSTITUTE COMMENTS ON RHODE ISLAND ADVISER REGISTRATION REGULATIONS __________________________________________________________ As you recall, the Rhode Island Department of Business Regulation recently proposed rules...
November 2, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 38-90 RE: A.G. EDWARDS POSITION PAPER - GROUP OF THIRTY CLEARANCE AND SETTLEMENT PROJECT __________________________________________________________ Enclosed for your review is a position paper by A.G. Edwards entitled "Group of...
November 1, 1990 TO: STATE LIAISON COMMITTEE NO. 26-90 RE: STATES' COMMENT LETTERS WITH REGARD TO THE CONCEPT RELEASE ON THE INVESTMENT COMPANY ACT OF 1940 __________________________________________________________ As we discussed at the recent State Liaison Committee meeting, we are...
- 1 - November 1, 1990 TO: TAX MEMBERS NO. 47-90 ACCOUNTING/TREASURERS MEMBERS NO. 22-90 RE: IRS PRIVATE LETTER RULING APPLYING IRS NOTICE 88-19 (TAXING BUILT-IN GAINS OF NONRIC MERGED INTO RIC) __________________________________________________________ As you may know, the so-called...
- 1 - October 30, 1990 TO: STATE SECURITIES MEMBERS NO. 32-90 UNIT INVESTMENT TRUST MEMBERS NO. 70-90 RE: PROCEDURAL CLARIFICATION WITH REGARD TO SECURITIES REGISTRATION IN RHODE ISLAND, MASSACHUSETTS AND NEBRASKA __________________________________________________________ Several...
October 30, 1990 TO: MONEY MARKET FUNDS AD HOC COMMITTEE NO. 1-90 RE: NOVEMBER 12 MEETING TO DISCUSS TAX-EXEMPT MONEY MARKET FUNDS __________________________________________________________ The Institute has scheduled a meeting for Monday, November 12 to discuss recommendations to the...
October 30, 1990 TO: COMPLIANCE NO. 1-90 RE: NOVEMBER 8 MEETING - DRAFT AGENDA __________________________________________________________ As we previously informed you, the next meeting of the Compliance Committee will be held on Thursday, November 8 at 10:00 a.m. in the Institute's...
October 30, 1990 TO: RESEARCH COMMITTEE NO. 26-90 RE: JANUARY COMMITTEE MEETINGS @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ We are planning for our mid winter Committee meeting, held this year at the Doral Ocean Beach Resort in Miami on January 16-18, 1990. You...
October 29, 1990 TO: CONTRACTUAL PLANS COMMITTEE NO. 13-90 RE: MAINE ISSUES SUPPLEMENTAL REPORT ON CONTRACTUAL PLAN FEES __________________________________________________________ As we previously informed you, the Maine Securities Division issued a study, dated March 26, 1990...
- 1 - October 29, 1990 TO: INVESTMENT ADVISER MEMBERS NO. 51-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 46-90 RE: ALABAMA REGISTRATION DEADLINE; MARYLAND CONSIDERS FEE WAIVER __________________________________________________________ As we previously advised you, effective January 1...
October 26, 1990 TO: MEMBERS - ONE PER COMPLEX NO. 48-90 SEC RULES MEMBERS NO. 74-90 UNIT INVESTMENT TRUST MEMBERS NO. 69-90 RE: STAFF ISSUES LETTER ON USE OF "GUARANTEED" AND "INSURED" IN FUND NAMES __________________________________________________________ In the attached letter...
