October 2, 1990 TO: PENSION MEMBERS NO. 37-90 RE: REVISED FORM 5305A-SEP __________________________________________________________ Attached is a copy of revised Form 5305A-SEP, Salary Reduction and Other Elective Simplified Employee Pension- Individual Retirement Accounts...
October 1, 1990 TO: STATE LIAISON COMMITTEE NO. 25-90 RE: PENNSYLVANIA LEGISLATION INTRODUCED REINSTATING SECURITIES REGISTRATION FEE CAP __________________________________________________________ As we previously informed you, legislation was enacted in Pennsylvania, effective July 1...
October 1, 1990 TO: MEMBERS INTERESTED IN PUBLIC INFORMATION NO. 10-90 RE: Updated edition of Do & Don't Handbook [1@ __________________________________________________________ Enclosed is an updated edition of The Do & Don't Handbook for registered representatives who sell mutual...
October 1, 1990 TO: PENSION COMMITTEE NO. 24-90 RE: LOS ANGELES UNIFIED SCHOOL DISTRICT HOLD HARMLESS AGREEMENTS __________________________________________________________ As you recall, the Institute has attempted to negotiate with California and other state public school systems to...
September 28, 1990 TO: BOARD OF GOVERNORS NO. 73-90 RE: SPECIAL LEGISLATIVE BREAKFAST WITH SENATE BUDGET COMMITTEE CHAIRMAN JIM SASSER----THURSDAY, OCTOBER 4, 8:30 AM __________________________________________________________ WE ARE DELIGHTED TO ANNOUNCE THAT SENATE BUDGET COMMITTEE...
September 28, 1990 TO: BOARD OF GOVERNORS NO. 74-90 STANDING COMMITTEE CHAIRS RE: SPECIAL LEGISLATIVE BREAKFAST WITH SENATE BUDGET COMMITTEE CHAIRMAN JIM SASSER----THURSDAY, OCTOBER 4, 8:30 AM __________________________________________________________ WE ARE DELIGHTED TO ANNOUNCE THAT...
- 1 - September 27, 1990 TO: STATE SECURITIES MEMBERS NO. 30-90 UNIT INVESTMENT TRUST MEMBERS NO. 64-90 BLUE SKY GUIDE RECIPIENTS RE: OREGON ADMINISTRATIVE RULE CLARIFIES PROCEDURES FOR BLUE CHIP EXEMPTION __________________________________________________________ Oregon Rule 441-25...
September 27, 1990 TO: BROKER/DEALER ASSOCIATE MEMBERS NO. 4-90 STATE SECURITIES MEMBERS NO. 29-90 RE: FLORIDA TELEMARKETING BILL ENACTED __________________________________________________________ A telemarketing bill was enacted by the Florida Legislature that takes effect October 1...
September 27, 1990 TO: MEMBERS - ONE PER COMPLEX NO. 41-90 CLOSED-END FUND MEMBERS NO. 39-90 INVESTMENT ADVISER MEMBERS NO. 47-90 SEC RULES MEMBERS NO. 69-90 UNIT INVESTMENT TRUST MEMBERS NO. 65-90 RE: SUMMARY OF SEC NO-ACTION AND INTERPRETIVE LETTERS - SERIES 49 _____________________...
September 27, 1990 TO: FEDERAL LEGISLATION MEMBERS NO. 7-90 FEDERAL LEGISLATION COMMITTEE NO. 6-90 RE: REPORT OF THE CHAIRMAN OF THE FEDERAL LEGISLATION COMMITTEE, SEPTEMBER 1990 __________________________________________________________ Attached is a copy of the Report of the...
September 27, 1990 TO: BOARD OF GOVERNORS NO. 72-90 MEMBERS - ONE PER COMPLEX NO. 40-90 RE: CENTRALIZED DATA COLLECTION AND DISSEMINATION PROJECT __________________________________________________________ The growth and diversity of the mutual fund industry, as well as the increase in...
September 27, 1990 TO: MEMBERS - ONE PER COMPLEX NO. 42-90 RE: STATUS OF BUDGET NEGOTIATIONS __________________________________________________________ The negotiations over the Federal Budget for fiscal 1991 have reached a critical point because, without a budget agreement, automatic...
September 26, 1990 TO: BOARD OF GOVERNORS NO. 71-90 RE: FY 1990-1991 BUDGET __________________________________________________________ In preparing the budget proposal for the next fiscal year, the following factors have influenced our thinking: -- Assets of open-end and closed-end...
September 26, 1990 TO: SALES FORCE MARKETING COMMITTEE NO. 26-90 RE: Minutes, September 19, 1990 __________________________________________________________ Attached for your review are minutes of the September 19, 1990, meeting of the Sales Force Marketing Committee. Please let me...
September 26, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 33-90 RE: DRAFT AGENDA FOR INVESTMENT ADVISERS COMMITTEE MEETING __________________________________________________________ Attached is the draft agenda for the Investment Advisers Committee meeting scheduled for Wednesday...
September 25, 1990 TO: PUBLIC INFORMATION COMMITTEE NO. 35-90 RE: Institute Comments to SEC on Money Market Fund Rule Changes __________________________________________________________ Here is a summary of the ICI comments on the SEC's proposed rule change on money market funds...
September 25, 1990 TO: RESEARCH COMMITTEE NO. 23-90 RE: COMMITTEE MEETING OCTOBER 2, 1990 - BACKGROUND MATERIALS @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ Enclosed is your package of background materials for the upcoming meeting on October 2, at the Vista Hotel...
September 25, 1990 TO: DIRECT MARKETING COMMITTEE NO. 25-90 SALES FORCE MARKETING COMMITTEE NO. 25-90 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 25-90 RE: Institute Comments to SEC on Money Market Fund Rule Changes __________________________________________________________ Here is a...
September 25, 1990 TO: BOARD OF GOVERNORS NO. 70-90 RE: INSTITUTE COMMENT LETTER ON SEC CONCEPT RELEASE __________________________________________________________ Comments on the SEC Comment Release regarding reform of the regulation of investment companies must be filed with the SEC...
- 1 - September 25, 1990 TO: SEC RULES MEMBERS NO. 68-90 INVESTMENT ADVISER MEMBERS NO. 46-90 RE: MUTUAL FUND ADVISER REGISTRATION REVOKED FOR VIOLATIONS OF ANTIFRAUD PROVISIONS OF SECURITIES LAWS AND THE 1940 ACT __________________________________________________________ The SEC...
September 25, 1990 TO: SEC RULES COMMITTEE NO. 54-90 RE: DRAFT AGENDA FOR OCTOBER 10 MEETING __________________________________________________________ Attached for your information is a draft agenda for the October 10 meeting of the SEC Rules Committee. The meeting will be held at...
September 24, 1990 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 42-90 SMALL FUNDS MEMBERS NO. 3-90 RE: GROUP EMPLOYEE BENEFIT INSURANCE PROGRAM __________________________________________________________ We are now entering our third year of the ICI sponsored Benefit Source Trust, an...
September 24, 1990 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 45-90 RE: AMEX PROPOSES AMENDMENTS TO PROPOSED LISTING GUIDELINES FOR CERTAIN UNIT INVESTMENT TRUSTS __________________________________________________________ The American Stock Exchange, Inc. has proposed amendments to...
September 24, 1990 TO: BOARD OF GOVERNORS NO. 68-90 SEC RULES COMMITTEE NO. 53-90 RE: FED AUTHORIZES EQUITY UNDERWRITING FOR SECTION 20 SUBSIDIARY __________________________________________________________ The Federal Reserve Board has given final approval for a bank holding company...
