- 1 - June 25, 1990 TO: PENSION MEMBERS NO. 29-90 INVESTMENT ADVISER MEMBERS NO. 26-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 24-90 RE: PROPOSED AND INTERIM REGULATIONS RELATING TO ERISA 502(1) __________________________________________________________ The Department of Labor...
June 22, 1990 TO: BOARD OF GOVERNORS NO. 44-90 SEC RULES COMMITTEE NO. 35-90 RE: FED PROPOSES ALLOWING BANK HOLDING COMPANY SUBSIDIARIES TO BROKER SHARES OF AFFILIATED FUNDS; COMPTROLLER EXTENDS COMMENT PERIOD ON COMMON TRUST FUND PROPOSAL _____________________________________________...
June 22, 1990 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 18-90 TAX COMMITTEE NO. 14-90 RE: PASSIVE FOREIGN INVESTMENT COMPANY (PFIC) SURVEY __________________________________________________________ At a June 7, 1990 meeting on international tax issues, members expressed a desire that...
June 21, 1990 TO: UNIT INVESTMENT TRUST MEMBERS NO. 39-90 RE: PROCEDURE TO REINSTATE PREVIOUSLY WITHDRAWN/TERMINATED UNIT TRUSTS AND RECEIVE REFUND OF RENEWAL FEE IN VIRGINIA __________________________________________________________ As we previously informed you, the Institute has...
June 21, 1990 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 17-90 OPERATIONS COMMITTEE NO. 12-90 TAX COMMITTEE NO. 13-90 TRANSFER AGENT ADVISORY COMMITTEE NO. 18-90 RE: ATTACHMENTS FOR THE JUNE 27, MEETING [A __________________________________________________________ Enclosed are the...
June 20, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 21-90 RE: SEC ISSUES CONCEPT RELEASE ON REFORM OF THE REGULATION OF INVESTMENT COMPANIES __________________________________________________________ Attached for your information is a concept release issued by the SEC on June 15, 1990...
June 20, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 20-90 RE: INVESTMENT ADVISORS DISCLOSURE AND ENFORCEMENT ACT OF 1990 __________________________________________________________ As we previously informed you, Representative Rick Boucher introduced the "Investment Advisors Disclosure...
- 1 - June 19, 1990 TO: INVESTMENT ADVISER MEMBERS NO. 25-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 23-90 RE: ALABAMA TO REGULATE INVESTMENT ADVISERS __________________________________________________________ Effective January 1, 1991, the State of Alabama will require registration...
June 18, 1990 TO: CLOSED-END FUND COMMITTEE NO. 15-90 RE: REQUEST TO NYSE CONCERNING ANNUAL MEETINGS AND APPROVAL OF MANAGEMENT AGREEMENT __________________________________________________________ At the last Closed-End Fund Committee meeting, it was decided that the Institute should...
June 18, 1990 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 27-90 RE: AMEX PROPOSES RULE CHANGE TO ACCOMMODATE CERTAIN UNIT INVESTMENT TRUSTS __________________________________________________________ The American Stock Exchange, Inc. ("Amex") is proposing a change to its rules to provide...
June 18, 1990 TO: PENSION MEMBERS NO. 28-90 OPERATIONS MEMBERS NO. 16-90 TRANSFER AGENT ADVISORY COMMITTEE NO. 16-90 RE: IRS COMBINES FORMS 1099-R AND W-2P FOR 1991 __________________________________________________________ Last July, the IRS announced a proposal to combine Forms 1099...
June 18, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 20-90 RE: 1. MEETING AGENDAS - JUNE 25-26, 1990 2. NSCC'S DOCUMENTATION FOR JUNE 25-26, 1990 MEETINGS __________________________________________________________ Attached are the meeting agendas for both the June 25 and June 26...
June 18, 1990 TO: BOARD OF GOVERNORS NO. 43-90 SEC RULES MEMBERS NO. 43-90 MEMBERS - ONE PER COMPLEX NO. 23-90 CLOSED-END FUND MEMBERS - ONE PER COMPLEX UNIT INVESTMENT TRUST MEMBERS - ONE PER COMPLEX RE: SEC ISSUES CONCEPT RELEASE ON REFORM OF REGULATION OF INVESTMENT COMPANIES _____...
June 15, 1990 TO: STATE LIAISON COMMITTEE NO. 13-90 RE: INTERIM NEBRASKA LEGISLATIVE COMMITTEE TO REVIEW SECURITIES FEES __________________________________________________________ As you know, Nebraska is one of five states that has an open-end fee for registration of securities and...
June 15, 1990 TO: TAX MEMBERS NO. 20-90 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 8-90 RE: CALIFORNIA EXPANDS PASS-THROUGH OF FEDERAL OBLIGATION INTEREST __________________________________________________________ The attached California statute, effective June 1, 1990, amends section...
June 15, 1990 TO: PENSION COMMITTEE NO. 13-90 RE: INSTITUTE SUPPORTS RELEASE OF DOL FINAL REGULATIONS UNDER ERISA SECTION 404(c) __________________________________________________________ The Department of Labor recently indicated that it finalized its regulation regarding the...
June 14, 1990 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 15-90 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: MEETING REMINDER AND AGENDA __________________________________________________________ The Accounting/Treasurers Committee and the Independent Accountants Advisory Group will meet on...
1 */ We have been informally advised by the IRS that the notices will be dated for June 25, but may be mailed sooner. June 14, 1990 TO: CLOSED-END FUND MEMBERS NO. 22-90 OPERATIONS MEMBERS NO. 15-90 TAX MEMBERS NO. 19-90 UNIT INVESTMENT TRUST MEMBERS NO. 38-90 TRANSFER AGENT ADVISORY...
June 14, 1990 TO: SEC RULES COMMITTEE NO. 33-90 UNIT INVESTMENT TRUST COMMITTEE NO. 26-90 INTERNATIONAL FUNDS TASK FORCE NO. 13-90 RE: DRAFT COMMENT LETTER RECOMMENDING EXTENSION OF REGULATION S TO OPEN-END INVESTMENT COMPANIES AND UNIT INVESTMENT TRUSTS ______________________________...
June 13, 1990 TO: SEC RULES MEMBERS NO. 42-90 UNIT INVESTMENT TRUST MEMBERS NO. 36-90 DIRECT MARKETING COMMITTEE NO. 14-90 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 13-90 SALES FORCE MARKETING COMMITTEE NO. 14-90 ADVERTISING COMMITTEE RE: SEC STAFF STATES THAT SENDING SALES LITERATURE...
June 13, 1990 TO: BOARD OF GOVERNORS NO. 42-90 STATE SECURITIES MEMBERS NO. 18-90 UNIT INVESTMENT TRUST MEMBERS NO. 37-90 RE: COLORADO ADOPTS BLUE CHIP EXEMPTION __________________________________________________________ Currently, all mutual funds and unit trusts that offer their...
June 13, 1990 TO: RESEARCH COMMITTEE NO. 13-90 RE: RANKING RESEARCH PROJECTS FOR FISCAL 1990-1991 @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ I enclose the revised set of Group A projects which reflect discussions at the June 6th Committee meeting. The following...
June 12, 1990 TO: UNIT INVESTMENT TRUST MEMBERS NO. 33-90 RE: FINAL RULES ADOPTED BY MASSACHUSETTS REGARDING SALES LITERATURE AND THE MANUAL EXEMPTION __________________________________________________________ The Secretary of State of the Commonwealth of Massachusetts recently...
