March 28, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 12-90 RE: NOTICE OF TWO-DAY MEETING -- CHANGE OF DATES NEW DATES: JUNE 25-26, 1990 __________________________________________________________ This is to advise you that the two-day meeting of the Broker/Dealer Advisory Committee...
March 27, 1990 TO: STATE LIAISON COMMITTEE NO. 6-90 RE: MISSISSIPPI PROPOSES RULE CHANGE __________________________________________________________ The Mississippi Securities Division recently proposed an amendment to Rule 225 that would require payment of a $50 fee with the...
- 1 - March 27, 1990 TO: TAX MEMBERS NO. 13-90 ACCOUNTING/TREASURERS MEMBERS NO. 9-90 RE: IRS ANNOUNCEMENT ON REVISED FORM 8613, RETURN OF EXCISE TAX ON UNDISTRIBUTED RIC INCOME __________________________________________________________ The IRS has revised Form 8613, Return of Excise...
March 27, 1990 TO: PENSION COMMITTEE NO. 6-90 RE: S. 2199, THE HEALTH CARE AND LONG-TERM CARE SECURITY ACT OF 1990 __________________________________________________________ Attached is a copy of S. 2199, the proposed Health Care and Long-Term Care Security Act of 1990. The...
March 27, 1990 TO: SEC RULES COMMITTEE NO. 18-90 RE: BILL TO PROHIBIT SALES OF SECURITIES ON BANK PREMISES __________________________________________________________ Representatives Schumer and McMillen have introduced a bill that would ban offers and sales of securities issued by...
March 22, 1990 TO: TAX MEMBERS NO. 12-90 PENSION MEMBERS NO. 12-90 OPERATIONS MEMBERS NO. 10-90 TRANSFER AGENT ADVISORY COMMITTEE NO. 7-90 RE: 1990 INSTRUCTIONS FOR IRS FORMS 1099, 1098, 5498 AND W-2G __________________________________________________________ Attached is a copy of the...
March 21, 1990 TO: BOARD OF GOVERNORS NO. 20-90 MEMBERS - ONE PER COMPLEX NO. 13-90 RE: ICI MUTUAL NEWSLETTER __________________________________________________________ Enclosed is the latest edition of Of Mutual Interest. Donald E. O'Connor Vice President - Operations Enclosure
March 21, 1990 TO: SEC RULES MEMBERS NO. 23-90 RE: COURT PERMANENTLY ENJOINS INVESTMENT COMPANY FROM VIOLATING 1940 ACT __________________________________________________________ The United States District Court for the Western District of North Carolina has permanently enjoined...
March 20, 1990 TO: STATE LIAISON COMMITTEE NO. 5-90 RE: NOTICE OF MEETING - APRIL 27, 1990 __________________________________________________________ The State Liaison Committee meeting has been scheduled for 1:30 p.m. on Friday, April 27, 1990. The meeting will be held in the...
March 19, 1990 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 8-90 BROKER/DEALER ASSOCIATE MEMBERS NO. 1-90 RE: INVESTMENT ADVISER NOT BOUND BY ARBITRATION CLAUSE IN BROKERAGE AGREEMENT __________________________________________________________ The U.S. Court of Appeals for the Seventh...
March 16, 1990 TO: MARKETING COMMITTEE NO. 7-90 FROM: TOM MACK, RESEARCH COMMITTEE CHAIRMAN RE: THE ICI'S RESEARCH PROJECT AGENDA FOR 1991 @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ Each year the ICI's Research Committee develops a number of possible research...
March 19, 1990 TO: RESEARCH COMMITTEE NO. 7-90 RE: PLANNING TASK FORCE - 1991 INDUSTRY RESEARCH AGENDA @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ Each year the ICI's Research Committee develops a number of possible research projects of interest to ICI members...
March 19, 1990 TO: OPERATIONS COMMITTEE NO. 5-90 RE: NOTICE OF COMMITTEE MEETING - MAY 9, 1990 __________________________________________________________ This is to inform you that the next meeting of the Operations Committee will be held on Wednesday, May 9, 1990 beginning with a...
March 16, 1990 TO: RESEARCH COMMITTEE NO. 8-90 COMMITTEE CHAIRMEN: GREGORY BARTON (Pension) BOB BLUCKE (Operations) EUGENE DESTAEBLER, Jr. (Closed-End) BILL HOSTLER (Direct Marketing) STEVE NORWITZ (Public Information) ANNE PATENAUDE (Communications) CLAUDE THOMAS (Sales Force...
March 19, 1990 TO: STATE LIAISON COMMITTEE NO. 4-90 UNIT INVESTMENT TRUST COMMITTEE NO. 12-90 RE: SOUTH DAKOTA PROPOSES NEW RULES - BLUE CHIP EXEMPTION FOR FUNDS AND TRUSTS __________________________________________________________ The South Dakota Securities Division has recently...
March 16, 1990 TO: BOARD OF GOVERNORS NO. 19-90 RE: NOTICE OF MEETING - WEDNESDAY, MAY 9, 1990 __________________________________________________________ A meeting of the Board of Governors has been scheduled for Wednesday, May 9, 1990, commencing with a luncheon at 1:00 pm in the...
March 16, 1990 TO: SMALL FUNDS MEMBERS NO. 1-90 RE: COMMITTEE MEETING - MAY 9, 1990 __________________________________________________________ This is to inform you that a Small Funds* Committee Meeting has been scheduled for Wednesday, May 9, 1990 from 9:30 a.m. until 12:30 p.m. in...
March 16, 1990 TO: CONTRACTUAL PLANS COMMITTEE NO. 3-90 RE: NOTICE OF MEETING - MAY 9, 1990 __________________________________________________________ This is to advise you that there will be a Contractual Plans Committee Meeting in the Washington Board Room at the Grand Hyatt...
March 16, 1990 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 9-90 RE: UPDATE ON MASSACHUSETTS FEE INTERPRETATION __________________________________________________________ As we previously reported, the Massachusetts Securities Division re-interpreted its position with respect to the manner...
March 16, 1990 TO: CLOSED-END FUND MEMBERS NO. 12-90 OPERATIONS MEMBERS NO. 9-90 SEC RULES MEMBERS NO. 22-90 ACCOUNTING/TREASURERS MEMBERS NO. 8-90 RE: INSTITUTE MEETING WITH STAFF CONCERNING GENERIC COMMENT LETTER __________________________________________________________ The...
March 16, 1990 TO: MONEY MARKET FUND CHIEF EXECUTIVE OFFICERS NO. 3-90 UNIT INVESTMENT TRUST COMMITTEE NO. 10-90 CALIFORNIA MEMBERS RE: CALIFORNIA BILL REQUIRING DISCLOSURE BEFORE SALES OF MONEY MARKET FUNDS AND OTHER SECURITIES ________________________________________________________...
March 16, 1990 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 9-90 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: MEETING REMINDER AND AGENDA __________________________________________________________ The Accounting/Treasurers Committee and the Independent Accountants Advisory Group will meet on...
March 15, 1990 TO: DIRECT MARKETING COMMITTEE NO. 9-90 RE: MINUTES OF LAST MEETING AND AGENDA FOR UPCOMING MEETING __________________________________________________________ Attached are the minutes of the last meeting of the Direct Marketing Committee, which was held on January 17...
March 15, 1990 TO: SEC RULES COMMITTEE NO. 16-90 RE: NOTICE OF MEETING - APRIL 26, 1990 __________________________________________________________ The SEC Rules Committee meeting has been scheduled for Thursday, April 26, 1990 at 10:00 a.m. The meeting will be held at the Ramada...
