May 22, 1990 TO: INVESTMENT ADVISER MEMBERS NO. 21-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 20-90 RE: INVESTMENT ADVISER REGISTRATION IN MARYLAND POSTPONED UNTIL OCTOBER __________________________________________________________ The Maryland Division of Securities has confirmed...
May 21, 1990 TO: INVESTMENT ADVISER MEMBERS NO. 19-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 18-90 RE: COURT FINDS INVESTMENT ADVISOR A FIDUCIARY SUBJECT TO RULE 10b-5 AND RICO __________________________________________________________ Attached is a copy of a recent case in which...
May 18, 1990 TO: TAX COMMITTEE NO. 11-90 ACCOUNTING/TREASURERS COMMITTEE NO. 14-90 INTERNATIONAL FUNDS TASK FORCE NO. 10-90 RE: JUNE 7, 1990 INTERNATIONAL TAX ISSUES MEETING __________________________________________________________ A meeting will be held at the Institute on Thursday...
May 18, 1990 TO: MARKETING COMMITTEE NO. 11-90 RE: ACTIVITIES OF THE RESEARCH DEPARTMENT __________________________________________________________ Attached is some information summarizing various activities of the Research Department that may be discussed at the upcoming meeting of...
May 18, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 15-90 RE: CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION TO HOLD MEETING ON ADVISER DISCLOSURE REQUIREMENTS __________________________________________________________ The California Fair Political Practices Commission (the "Commission...
May 18, 1990 TO: OPERATIONS COMMITTEE NO. 9-90 RE: 1. SURVEY FOR ISSUANCE OF LOST INSTRUMENT BONDS 2. SURVEY FOR LIMIT INCREASE OF SIGNATURE GUARANTEEE WAIVER __________________________________________________________ At the Operations Committee meeting on May 9, 1990, the Committee...
May 18, 1990 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 13-90 RE: NOTICE OF MEETING - JUNE 19, 1990 __________________________________________________________ This is to advise you that there will be a meeting of the Transfer Agent Advisory Committee starting at 10:00 a.m. on Tuesday...
May 17, 1990 TO: BOARD OF GOVERNORS NO. 37-90 RE: BANK ASSOCIATION PETITIONS FED FOR MUTUAL FUND POWERS __________________________________________________________ As you know, the Federal Reserve Board has issued orders authorizing subsidiaries of bank holding companies to underwrite...
May 17, 1990 TO: PENSION MEMBERS NO. 24-90 RE: REVISED FORM 5306 FOR PROTOTYPE IRA SPONSORS __________________________________________________________ Attached is a copy of Form 5306, Application for Approval of Prototype or Employer Sponsored Individual Retirement Account (Under...
- 1 - May 17, 1990 TO: PENSION MEMBERS NO. 25-90 RE: IRS PROPOSED AND TEMPORARY REGULATIONS CONCERNING NONDISCRIMINATION, MINIMUM PARTICIPATION AND OTHER QUALIFIED PLAN REQUIREMENTS __________________________________________________________ Attached are the following IRS regulations:...
May 17, 1990 TO: TAX COMMITTEE NO. 10-90 OPERATIONS COMMITTEE NO. 8-90 TRANSFER AGENT ADVISORY COMMITTEE NO. 12-90 RE: MAY 30, 1990 INFORMATION REPORTING MEETING __________________________________________________________ A meeting will be held at the Institute on Wednesday, May 30...
May 16, 1990 TO: PUBLIC INFORMATION COMMITTEE NO. 16-90 RE: Updated Membership List __________________________________________________________ Here is an updated list of committee member addresses and phone numbers to assist you in contacting other members of the committee. Best...
May 16, 1990 TO: CONTRACTUAL PLANS COMMITTEE NO. 6-90 RE: STATE PLAN OF ACTION __________________________________________________________ Pursuant to the conference call on Tuesday, May 15, 1990, the Contractual Plans Committee determined that the following actions were to be taken: 1...
May 16, 1990 TO: STATE SECURITIES MEMBERS NO. 14-90 UNIT INVESTMENT TRUST MEMBERS NO. 28-90 RE: ARIZONA RAISES REGISTRATION FEES __________________________________________________________ The Institute has recently been advised that legislation increasing the registration fees for...
May 16, 1990 TO: CONTRACTUAL PLANS COMMITTEE NO. 5-90 RE: PLAN OF ACTION TO DEFEND CONTRACTUAL PLANS IN THE STATES __________________________________________________________ At its meeting on May 9, 1990, the Contractual Plans Committee discussed actions various states recently have...
May 15, 1990 TO: CONTRACTUAL PLANS COMMITTEE NO. 4-90 RE: NOTICE AND FEE TO CLAIM BLUE CHIP EXEMPTION FROM REGISTRATION IN NEW MEXICO __________________________________________________________ As an alternative to registering securities in New Mexico, contractual plans may claim the...
May 15, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 14-90 RE: OKLAHOMA INTRODUCES FINANCIAL PLANNERS ACT __________________________________________________________ Attached is a copy of a bill introduced in Oklahoma to regulate financial planners. The bill would require financial...
May 15, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 18-90 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING APRIL, 1990 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending April, 1990. We will continue to send...
May 15, 1990 TO: UNIT INVESTMENT TRUST MEMBERS NO. 27-90 RE: PROPOSED VIRGINIA RULE FOR REFUND OF EXCESS REGISTRATION FEES PAID BY UITS __________________________________________________________ As we previously informed you, legislation increasing the registration fees for unit...
May 15, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 17-90 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of April 30, 1990...
May 14, 1990 TO: PUBLIC INFORMATION COMMITTEE NO. 15-90 RE: New Ad Hoc Subcommittees __________________________________________________________ As discussed in memo 11-90, we are forming several ad hoc subcommittees to monitor fund issues and opportunities which are of interest to the...
May 14, 1990 TO: PENSION MEMBERS NO. 23-90 RE: FREE SOFTWARE FOR COMPUTER GENERATION OF FORM 5307 __________________________________________________________ Attached is IRS Announcement IR 90-78 regarding computer generation of Form 5307, Application for Determination for Adopters of...
May 14, 1990 TO: STATE LIAISON COMMITTEE NO. 12-90 RE: CORRECTION __________________________________________________________ We are re-sending Memorandum to State Liaison Committee No. 11-90, dated May 9, 1990, because the first mailing was missing the Institute's letter to Susan...
May 11, 1990 TO: DIRECT MARKETING COMMITTEE NO. 12-90 RE: MINUTES OF LAST MEETING __________________________________________________________ Attached are the minutes of the previous meeting of the Direct Marketing Committee, which was held on April 19 in Washington, D.C. The committee...
- 1 - May 11, 1990 TO: PENSION MEMBERS NO. 22-90 UNIT INVESTMENT TRUST MEMBERS NO. 26-90 SEC RULES MEMBERS NO. 37-90 RE: FDIC FINALIZES AMENDMENTS TO REGULATIONS CONCERNING PASS-THROUGH INSURANCE __________________________________________________________ The Federal Deposit Insurance...
