March 14, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 8-90 RE: CALIFORNIA LEGISLATIVE PROPOSAL CONCERNING BEST EXECUTION IN CALIFORNIA PUBLIC FUNDS __________________________________________________________ As we have previously informed you, a legislative proposal has been introduced...
March 14, 1990 TO: BOARD OF GOVERNORS NO. 18-90 STATE SECURITIES MEMBERS NO. 4-90 UNIT INVESTMENT TRUST MEMBERS NO. 17-90 RE: UTAH ADOPTS BLUE CHIP EXEMPTION __________________________________________________________ Currently, all mutual funds and unit trusts that offer their shares...
- 1 - March 13, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 7-90 RE: CALIFORNIA COMMISSION CLARIFIES DEFINITION OF "OTHER PUBLIC OFFICIALS" TO EXCLUDE INVESTMENT ADVISERS FROM CONFLICT OF INTEREST DISCLOSURE REQUIREMENTS __________________________________________________________ As we...
March 13, 1990 TO: PENSION COMMITTEE NO. 5-90 RE: INSTITUTE LETTER TO VENTURA COUNTY CONCERNING HOLD-HARMLESS AGREEMENT __________________________________________________________ Attached is a copy of the Institute's letter to Ventura County, California concerning its Attachment No. 6...
March 13, 1990 TO: BOARD OF GOVERNORS NO. 17-90 SEC RULES MEMBERS NO. 21-90 OPERATIONS MEMBERS NO. 8-90 ACCOUNTING/TREASURERS MEMBERS NO. 7-90 ADVERTISING SUBCOMMITTEE FORM N-1A TASK FORCE RE: INSTITUTE COMMENT LETTER ON PROPOSED AMENDMENTS TO FORM N-1A _______________________________...
March 12, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 10-90 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING FEBRUARY, 1990 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending February, 1990. We will continue...
March 12, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 11-90 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of February 28...
March 12, 1990 TO: SALES FORCE MARKETING COMMITTEE NO. 9-90 RE: MINUTES OF LAST MEETING __________________________________________________________ The next meeting of the Sales Force Marketing Committee will be held on April 19, 1990, at 2 p.m. at the Madison Hotel, 15th and M Streets...
March 9, 1990 TO: BOARD OF GOVERNORS NO. 16-90 SEC RULES COMMITTEE NO. 15-90 STATE LIAISON COMMITTEE NO. 2-90 UNIT INVESTMENT TRUST COMMITTEE NO. 8-90 RE: PROPOSED TENNESSEE LEGISLATION ________________________________________________________ As you know, many state laws provide that...
March 9, 1990 TO: CONTRACTUAL PLANS COMMITTEE NO. 2-90 RE: 1989 CONTRACTUAL PLANS STATISTICS __________________________________________________________ As you know, each year the Institute collects contractual plans sales and redemption statistics in order that we can compile the...
March 9, 1990 TO: BOARD OF GOVERNORS NO. 15-90 RE: INSTITUTE COMMENT LETTER ON DEPOSIT INSURANCE STUDY __________________________________________________________ As we previously informed you, the Department of Treasury has been soliciting comments in connection with its study of the...
March 8, 1990 TO: MEMBERS - ONE PER COMPLEX NO. 11-90 RE: PRICING OF HIGH YIELD BONDS __________________________________________________________ It is our understanding that Drexel Burnham Lambert has continued to provide prices on certain issues of high yield bonds in an effort to...
March 16, 1990 TO: BOARD OF GOVERNORS NO. 14-90 EXECUTIVE COMMITTEE NO. 3-90 MEMBERS - ONE PER COMPLEX NO. 12-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 7-90 INVESTMENT ADVISER MEMBERS NO. 9-90 DIRECT MARKETING COMMITTEE NO. 8-90 MARKETING COMMITTEE NO. 6-90 PUBLIC INFORMATION...
- 1 - March 7, 1990 TO: SEC RULES MEMBERS NO. 20-90 INVESTMENT ADVISER MEMBERS NO. 8-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 6-90 RE: SETTLEMENT OF SEC PROCEEDING ALLEGING MISLEADING STATEMENTS BY ADVISER CONCERNING PAST PERFORMANCE ________________________________________________...
March 7, 1990 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 7-90 RE: NOTICE OF MEETING, APRIL 17, 1990 __________________________________________________________ A meeting of the Unit Investment Trust Committee has been scheduled for Tuesday, April 17, 1990 at 10:00 a.m. in the conference...
March 7, 1990 TO: CLOSED-END FUND COMMITTEE NO. 8-90 RE: NOTICE OF CLOSED-END FUND COMMITTEE MEETING MAY 2, 1990 __________________________________________________________ A meeting of the Closed-End Fund Committee has been scheduled for 10:00 a.m. Wednesday, May 2, 1990. This meeting...
March 6, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 6-90 RE: NOTICE OF MEETING, TUESDAY, APRIL 3, 1990 ________________________________________________________ A meeting of the Investment Advisers Committee has been scheduled for Tuesday, April 3, 1990 at 10:00 a.m. The meeting will...
- 1 - March 6, 1990 TO: PENSION MEMBERS NO. 10-90 RE: IRS INFORMATION LETTER CONCERNING REVENUE PROCEDURE 89-52 __________________________________________________________ Attached is a copy of an IRS information letter obtained by the Institute concerning Form 5498 reporting upon the...
March 6, 1990 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 8-90 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: NOTICE OF MEETING - MARCH 27, 1990 __________________________________________________________ This is to notify you that there will be a meeting of the Accounting/Treasurers Committee...
March 6, 1990 TO: PUBLIC INFORMATION COMMITTEE NO. 6-90 RE: Public Information Committee Meeting __________________________________________________________ The Public Information committee will have its April meeting in two sessions, beginning at 3:00 p.m. Tuesday, April 17, in the...
March 6, 1990 TO: PENSION MEMBERS NO. 11-90 RE: IRS REVENUE PROCEDURE REVISING USER FEE SCHEDULE __________________________________________________________ Attached is a copy of Revenue Procedure 90-17, which revises the schedule of user fees for rulings, opinion letters...
March 5, 1990 TO: PENSION COMMITTEE NO. 4-90 TAX COMMITTEE NO. 5-90 RE: NOTICE OF MEETINGS, THURSDAY, APRIL 5, 1990 __________________________________________________________ The Pension and Tax Committee meetings have been scheduled for Thursday, April 5, 1990 at 10:00 a.m. and 1:30...
March 5, 1990 TO: MEMBERS - ONE PER COMPLEX NO. 10-90 ABANDONED PROPERTY TASK FORCE RE: EXTENSION OF MARCH 10 DEADLINE UNDER NEW YORK ABANDONED PROPERTY LAW __________________________________________________________ We are pleased to inform you that, in response to an Institute...
- 1 - March 5, 1990 TO: SEC RULES MEMBERS NO. 19-90 BROKER/DEALER ADVISORY COMMITTEE NO. 9-90 BROKER-DEALER ASSOCIATE MEMBERS RE: NASD PROPOSED AMENDMENTS CONCERNING CUSTOMER ACCOUNT INFORMATION __________________________________________________________ The NASD is requesting its...
March 2, 1990 TO: DIRECT MARKETING COMMITTEE NO. 7-90 PUBLIC INFORMATION COMMITTEE NO. 5-90 SALES FORCE MARKETING COMMITTEE NO. 7-90 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 7-90 RE: APRIL COMMITTEE MEETING SCHEDULE __________________________________________________________ The next...
