April 6, 1990 TO: BOARD OF GOVERNORS NO. 24-90 UNIT INVESTMENT TRUST COMMITTEE NO. 16-90 RE: VIRGINIA LEGISLATION __________________________________________________________ As you know, the Institute has been actively working with the Virginia General Assembly, the Virginia...
April 6, 1990 TO: BOARD OF GOVERNORS NO. 25-90 SEC RULES MEMBERS NO. 27-90 INTERNATIONAL FUNDS TASK FORCE NO. 4-90 RE: INSTITUTE TESTIMONY ON S.2028, THE "FAIR TRADE IN FINANCIAL SERVICES ACT OF 1990", BEFORE THE SENATE BANKING COMMITTEE _______________________________________________...
April 5, 1990 TO: BOARD OF GOVERNORS NO. 23-90 RE: INSTITUTE PETITION FILED IN INDEX PARTICIPATIONS CASE __________________________________________________________ The Institute has filed a conditional petition for certiorari with the U.S. Supreme Court in the case concerning "index...
April 4, 1990 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 14-90 RE: SOUTH DAKOTA COMMENT LETTER __________________________________________________________ As we previously informed you, the South Dakota Securities Division recently proposed for public comment a rule that increased the...
April 4, 1990 TO: BOARD OF GOVERNORS NO. 22-90 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 4-90 SEC RULES COMMITTEE NO. 20-90 STATE LIAISON COMMITTEE NO. 7-90 UNIT INVESTMENT TRUST COMMITTEE NO. 15-90 BROKER/DEALER ADVISORY COMMITTEE NO. 14-90 BROKER/DEALER ASSOCIATE MEMBERS NO. 2-90...
April 4, 1990 TO: SEC RULES MEMBERS NO. 26-90 RE: RTC DECISION TO CONTINUE PAYING POST-INSOLVENCY INTEREST __________________________________________________________ We are pleased to inform you that Resolution Trust Corp. ("RTC") has announced that it will approve a plan under which...
April 4, 1990 TO: PUBLIC INFORMATION COMMITTEE NO. 8-90 RE: Registrants for Public Information Committee Meetings __________________________________________________________ Attached is a list of those members who have registered to attend one or both of the Public Information...
April 4, 1990 TO: OPERATIONS COMMITTEE NO. 6-90 RE: NOTICE OF OPEN BROKER/DEALER ADVISORY COMMITTEE MEETING - JUNE 26, 1990 __________________________________________________________ Members of the Operations Committee are invited to attend the "open" meeting of the Broker/Dealer...
April 3, 1990 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 13-90 RE: REQUEST FOR RESALES EXEMPTION IN CALIFORNIA __________________________________________________________ As you know, California is one of the few states that requires renewal of a registration statement of a unit...
April 2, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 12-90 RE: PROPOSED INVESTMENT ADVISORS DISCLOSURE AND ENFORCEMENT ACT OF 1940 __________________________________________________________ Attached is a copy of proposed legislation introduced on March 30 by Representative Boucher...
April 2, 1990 TO: TAX COMMITTEE NO. 8-90 CLOSED-END FUND COMMITTEE NO. 9-90 ACCOUNTING/TREASURERS COMMITTEE NO. 11-90 RE: INSTITUTE COMMENTS ON SECTION 852(b)(3)(C) POST-OCTOBER LOSS REGULATIONS ________________________________________________________ As we previously informed you...
March 29, 1990 TO: INSURANCE COMPANY-DTC-FUND/SERV ADVISORY COMMITTEE NO. 4-90 RE: NOTICE OF MEETING - JUNE 11, 1990 __________________________________________________________ This is to advise you that there will be a meeting of the Insurance Company-DTC-FUND/SERV Advisory Committee...
March 29, 1990 TO: MEMBERS - ONE PER COMPLEX NO. 14-90 ABANDONED PROPERTY TASK FORCE RE: NEW YORK ASSEMBLY PASSES CORRECTIVE ABANDONED PROPERTY LEGISLATION We are pleased to inform you that today the New York Assembly unanimously approved A.9300, the proposed amendment to the...
March 29, 1990 TO: PENSION COMMITTEE NO. 8-90 RE: AGENDA FOR PENSION COMMITTEE MEETING -- APRIL 5, 1990 __________________________________________________________ Attached is a copy of the Pension Committee Agenda for the Thursday, April 5, 1990 meeting at 10:00 a.m. The meeting will...
March 28, 1990 TO: OPERATIONS MEMBERS NO. 11-90 TRANSFER AGENT ADVISORY COMMITTEE NO. 8-90 ADHOC COMMITTEE ON UNCLAIMED PROPERTY RE: RPO SURVEY RESULTS __________________________________________________________ The Institute surveyed the Operations Committee last year for information...
March 28, 1990 TO: BOARD OF GOVERNORS NO. 21-90 PENSION COMMITTEE NO. 7-90 TAX COMMITTEE NO. 6-90 RE: INSTITUTE TESTIMONY ON SAVINGS AND INVESTMENT INCENTIVES BEFORE THE UNITED STATES SENATE COMMITTEE ON FINANCE __________________________________________________________ On March 27...
March 28, 1990 TO: SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 9-90 RE: Agenda for Next Meeting Minutes of Last Meeting __________________________________________________________ Enclosed, along with the minutes of the Winter 1990 meeting, is a preliminary agenda for the upcoming Spring...
March 28, 1990 TO: PENSION MEMBERS NO. 13-90 RE: IRS REVENUE PROCEDURE MODIFYING PROTOTYPE PLAN PROCEDURES AND EXTENDED FILING DEADLINE __________________________________________________________ Attached is a copy of IRS Revenue Procedure 90-21, which modifies Revenue Procedure 89-9...
March 28, 1990 TO: TAX COMMITTEE NO. 7-90 RE: AGENDA FOR TAX COMMITTEE MEETING - APRIL 5, 1990 __________________________________________________________ Attached is a copy of the agenda for the Tax Committee meeting on Thursday, April 5, at 1:30 p.m. The meeting will be held at the...
March 28, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 10-90 RE: MISSISSIPPI ADOPTS LAW REQUIRING REGISTRATION OF INVESTMENT ADVISER REPRESENTATIVES AND PROPOSES PROCEDURE FOR REGISTRATION __________________________________________________________ Legislation recently passed by the...
March 28, 1990 TO: SEC RULES MEMBERS NO. 25-90 BROKER/DEALER ADVISORY COMMITTEE NO. 13-90 BROKER-DEALER ASSOCIATE MEMBERS RE: SEC STUDY ON BROKER-DEALER CHINESE WALL PROCEDURES ________________________________________________________ The SEC's Division of Market Regulation recently...
March 28, 1990 TO: PENSION MEMBERS NO. 14-90 RE: IRS ANNOUNCES OPENING OF LIMITED DETERMINATION LETTER PROGRAM __________________________________________________________ Attached is a copy of Revenue Procedure 90-20, which describes the procedure for applying for IRS determination...
- 1 - March 28, 1990 TO: CLOSED-END FUND MEMBERS NO. 13-90 INVESTMENT ADVISER MEMBERS NO. 10-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 9-90 OPERATIONS MEMBERS NO. 12-90 SEC RULES MEMBERS NO. 24-90 STATE SECURITIES MEMBERS NO. 5-90 TAX MEMBERS NO. 14-90 UNIT INVESTMENT TRUST MEMBERS...
March 28, 1990 TO: SEC RULES COMMITTEE NO. 19-90 RE: LETTER TO STAFF CONCERNING STREAMLINING OF PROSPECTUS DISCLOSURE __________________________________________________________ AT the CCH-FBA Mutual Funds Conference last week, Kathie McGrath stated that no funds have streamlined their...
March 28, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 11-90 RE: NASAA AMENDED PROPOSED REVISIONS TO MODEL INVESTMENT ADVISER RULES ________________________________________________________ As we previously informed you, the Financial Planner/Investment Adviser Committee of the North...
