September 12, 1990 TO: BOARD OF GOVERNORS NO. 65-90 RE: PRESIDENTIAL SUCCESSION __________________________________________________________ As you will recall, at the January meeting of the Board a Committee was appointed to recommend a successor to Dave Silver as President of the...
September 12, 1990 TO: MEMBERS - ONE PER COMPLEX NO. 37-90 RE: CONNECTICUT DENIES PETITION FOR DECLARATORY RULING ON PASS-THROUGH TREATMENT FOR FEDERAL OBLIGATION INTEREST __________________________________________________________ As we previously informed you, an investment company...
September 11, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 32-90 RE: DISTRIBUTION MATERIALS FOR SEPTEMBER 18, 1990 MEETING __________________________________________________________ Attached is the documentation for the NSCC's portion of the September 18, 1990 meeting of the Broker...
September 10, 1990 TO: INVESTMENT ADVISER MEMBERS NO. 44-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 40-90 RE: RHODE ISLAND EMERGENCY INVESTMENT ADVISER REGULATIONS __________________________________________________________ As we previously advised you, Rhode Island revised its laws...
- 1 - September 7, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 30-90 RE: INSTITUTE STATEMENT AT NASAA FALL CONFERENCE __________________________________________________________ Attached is a copy of the Institute's testimony presented to the Financial Planner/Investment Advisers...
September 7, 1990 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 39-90 RE: QUESTIONNAIRE ON INVESTMENT ADVISER E & O INSURANCE __________________________________________________________ A number of associate members of the Investment Company Institute have made inquiries on the...
September 7, 1990 TO: BOARD OF GOVERNORS NO. 64-90 SEC RULES COMMITTEE NO. 50-90 INTERNATIONAL FUNDS TASK FORCE NO. 21-90 RE: SENATE BANKING COMMITTEE APPROVES S.2820, THE "FAIR TRADE IN FINANCIAL SERVICES ACT" __________________________________________________________ The Senate...
- 1 - September 7, 1990 TO: TAX MEMBERS NO. 35-90 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 11-90 RE: MINNESOTA SUPREME COURT EXEMPTS DIVIDENDS DERIVED FROM FEDERAL INTEREST FROM STATE TAX __________________________________________________________ The attached Minnesota Supreme Court...
September 7, 1990 TO: SEC RULES MEMBERS NO. 64-90 CLOSED-END FUND MEMBERS NO. 34-90 UNIT INVESTMENT TRUST MEMBERS NO. 60-90 OPERATIONS MEMBERS NO. 26-90 ABANDONED PROPERTY TASK FORCE RE: CALIFORNIA REVISES ABANDONED PROPERTY LAW ________________________________________________________...
September 6, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 29-90 RE: INSTITUTE COMMENTS ON CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION HEARING ON ADVISER DISCLOSURE REQUIREMENTS __________________________________________________________ As we previously informed you, the California...
September 6, 1990 TO: BOARD OF GOVERNORS NO. 63-90 SEC RULES MEMBERS NO. 63-90 RULE 12b-1 AD HOC COMMITTEE RE: NASD PROPOSED RULE REGARDING 12b-1 PAYMENTS __________________________________________________________ The Board of Governors of the NASD is soliciting a membership vote on...
September 6, 1990 TO: SEC RULES COMMITTEE NO. 49-90 SUBCOMMITTEE ON ADVERTISING RE: NASAA COMMITTEE TO REVIEW SALES LITERATURE FILING REQUIREMENT __________________________________________________________ The Institute has been working for several years to eliminate the sales...
September 6, 1990 TO: STATE LIAISON COMMITTEE NO. 19-90 UNIT INVESTMENT TRUST COMMITTEE NO. 39-90 RE: NASAA INVESTMENT COMPANIES COMMITTEE PROJECTS __________________________________________________________ The NASAA Investment Company Registration/Trading Practices Committee ("the...
September 5, 1990 TO: SEC RULES COMMITTEE NO. 48-90 INTERNATIONAL FUNDS TASK FORCE NO. 20-90 RE: INSTITUTE'S DRAFT COMMENT LETTER ON SEC'S PROPOSED CONCEPTUAL APPROACH REGARDING MULTINATIONAL TENDER AND EXCHANGE OFFERS __________________________________________________________ As we...
September 5, 1990 TO: STATE LIAISON COMMITTEE NO. 18-90 RE: NOTICE OF MEETING - OCTOBER 23, 1990 __________________________________________________________ The State Liaison Committee meeting has been scheduled for 1:30 p.m. on Tuesday, October 23 ,1990. The meeting will be held in...
September 4, 1990 TO: CLOSED-END FUND COMMITTEE NO. 20-90 RE: NOTICE OF CLOSED-END FUND COMMITTEE MEETING __________________________________________________________ A meeting of the Closed-End Fund Committee has been scheduled for 10:00 a.m. on Wednesday, October 17, 1990. This...
September 4, 1990 TO: TAX COMMITTEE NO. 26-90 PENSION COMMITTEE NO. 23-90 RE: CORRECTION TO MEETING NOTICE __________________________________________________________ The memo sent to the Tax and Pension Committee members dated August 27, 1990, regarding Notice of Meeting, Thursday...
1 */ NDFs are trust funds established by electrical utilities to accumulate the money necessary to decommission nuclear power plants. September 4, 1990 TO: SEC RULES COMMITTEE NO. 47-90 TAX COMMITTEE NO. 27-90 RE: INSTITUTE FILES COMMENTS WITH THE IRS ON NUCLEAR DECOMMISSIONING FUND...
September 4, 1990 TO: INVESTMENT ADVISER MEMBERS NO. 43-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 38-90 RE: MARYLAND INVESTMENT ADVISER REGISTRATION DEADLINE __________________________________________________________ As we previously informed you, investment advisers and investment...
September 4, 1990 TO: DIRECT MARKETING COMMITTEE NO. 23-90 RE: AGENDA FOR UPCOMING MEETING __________________________________________________________ Attached is the agenda for the next meeting of the Direct Marketing Committee, which will be held on September 19, 1990 at the Madison...
August 31, 1990 TO: SEC RULES MEMBERS NO. 62-90 RE: SEC COMPLAINT ALLEGES PORTFOLIO MANAGER DEFRAUDED FUND AND ITS SHAREHOLDERS __________________________________________________________ The SEC has filed a complaint in the United States District Court for the Western District of...
August 31, 1990 TO: BOARD OF GOVERNORS NO. 61-90 RE: January, 1991 Board of Governors Meeting __________________________________________________________ The Institute's Board of Governors Winter meeting will be held January 29-31, 1991 at Mauna Kea Beach Hotel in Hawaii. The program...
August 31, 1990 TO: SEC RULES COMMITTEE NO. 46-90 RE: NOTICE OF MEETING - OCTOBER 10, 1990 __________________________________________________________ The SEC Rules Committee meeting has been scheduled for Wednesday, October 10, 1990 at 10:00 a.m. The meeting will be held at the Vista...
August 31, 1990 TO: BOARD OF GOVERNORS NO. 62-90 RE: Proposed Resolution Expressing Appreciation to Thomas R. Powers __________________________________________________________ Enclosed is a proposed Resolution to be adopted by the Board of Governors in appreciation of all that Thomas...
August 31, 1990 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 38-90 RE: NOTICE OF MEETING, OCTOBER 25, 1990 __________________________________________________________ A meeting of the Unit Investment Trust Committee has been scheduled for Thursday, October 25, 1990 at 10:00 a.m. in the...
