January 19, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 1-90 RE: AGENDA FOR INVESTMENT ADVISERS COMMITTEE MEETING - JANUARY 30, 1990 __________________________________________________________ Attached is a copy of the Investment Advisers Committee Agenda for the Tuesday, January 30...
January 18, 1990 TO: INVESTMENT ADVISER MEMBERS NO. 2-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 2-90 RE: 1990 INVESTMENT ADVISER WORKSHOPS - FINAL REMINDER __________________________________________________________ As we have previously informed you, the Investment Company Institute...
January 18, 1990 TO: UNIT INVESTMENT TRUST MEMBERS NO. 3-90 RE: STAFF ISSUES GENERIC COMMENT LETTER; CLARIFIES INTERIM YIELD GUIDELINES __________________________________________________________ The staff of the Division of Investment Management has sent to investment company...
January 17, 1990 TO: SEC RULES COMMITTEE NO. 5-90 RE: FORMATION OF COMPLIANCE COMMITTEE __________________________________________________________ At the SEC Rules Committee meeting held on January 11, 1990, the Institute proposed forming a committee to address compliance issues. The...
January 16, 1990 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 1-90 RE: NOTICE OF MEETING - FEBRUARY 13, 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...
January 16, 1990 TO: FEDERAL LEGISLATION MEMBERS NO. 1-90 FEDERAL LEGISLATION COMMITTEE NO. 1-90 RE: REPORT OF THE CHAIRMAN OF THE FEDERAL LEGISLATION COMMITTEE, JANUARY 1990 __________________________________________________________ Attached is a copy of the Report of the Chairman of...
January 16, 1990 TO: INSURANCE COMPANY-DTC-FUND/SERV ADVISORY COMMITTEE NO. 2-90 RE: NOTICE OF MEETING - FEBRUARY 14, 1990 __________________________________________________________ This is to confirm that there will be a meeting of the Insurance Company-DTC-FUND/SERV Advisory...
January 16, 1990 TO: BOARD OF GOVERNORS NO. 6-90 RE: Planning for the l990s Project __________________________________________________________ The second day of the Board of Governors meeting to be held next week at The Boulders will be devoted to an interim report and discussion on...
January 16, 1990 TO: UNIT INVESTMENT TRUST MEMBERS NO. 2-90 RE: MASSACHUSETTS RE-INTERPRETS FEE POLICY __________________________________________________________ The Institute has learned that Massachusetts recently changed its interpretation of the manner in which registration fees...
January 15, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 1-90 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING DECEMBER, 1989 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending December, 1989. We will continue...
January 15, 1990 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 2-90 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Enclosed is a copy of the Registration Status Report as of December 29...
January 12, 1990 TO: TAX COMMITTEE NO. 2-90 RE: POSSIBLE LEGISLATIVE PROPOSAL FOR UNIFIED DISTRIBUTION REQUIREMENT __________________________________________________________ At this week's Tax Committee meeting, we discussed whether the Institute should propose legislation to combine...
January 12, 1990 TO: STATE LIAISON COMMITTEE NO. 1-90 UNIT INVESTMENT TRUST COMMITTEE NO. 1-90 RE: PROPOSED AMENDMENTS TO MASSACHUSETTS RULES __________________________________________________________ The Massachusetts Securities Division has recently proposed for public comment...
January 12, 1990 TO: SEC RULES COMMITTEE NO. 4-90 RE: MEETING ON PROPOSED AMENDMENTS TO FORM N-1A __________________________________________________________ A meeting has been scheduled for Thursday, February 1 to discuss the SEC's proposed amendments to Form N-1A (including the...
January 12, 1990 TO: BOARD OF GOVERNORS NO. 5-90 SEC RULES COMMITTEE NO. 3-90 RE: INSTITUTE AMICUS BRIEF IN BANK UNDERWRITING OF MORTGAGE-BACKED SECURITIES CASE __________________________________________________________ The Institute has submitted an amicus curiae brief in support of...
January 12, 1990 TO: INSURANCE COMPANY-DTC-FUND/SERV ADVISORY COMMITTEE NO. 1-90 RE: NOTICE OF MEETING CANCELLATION - JANUARY 18, 1990 NEW MEETING DATE: FEBRUARY 14, 1990 __________________________________________________________ This is to inform you that the January 18, 1990 meeting...
January 11, 1990 TO: MARKETING COMMITTEE NO. 2-90 DAVID H. DIEVLER DAVID S. LEE RE: MARKETING COMMITTEE AGENDA __________________________________________________________ Attached is the agenda for the Marketing Committee meeting which will be held in the Chairman's Board Room at The...
January 11, 1990 TO: BOARD OF GOVERNORS NO. 4-90 SEC RULES MEMBERS NO. 3-90 RE: STAFF RESPONSE TO INSTITUTE LETTER ON PROSPECTUS LENGTH __________________________________________________________ The Institute recently submitted a letter to the staff expressing our concern about...
January 10, 1990 TO: MARKETING COMMITTEE NO. 1-90 DIRECT MARKETING COMMITTEE NO. 2-90 SALES FORCE MARKETING COMMITTEE NO. 2-90 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 2-90 RESEARCH COMMITTEE NO. 3-90 SMALL FUNDS COMMITTEE NO. 1-90 MEMBERS INTERESTED IN PUBLIC INFORMATION NO. 1-90...
RESENT DUE TO MISSING PAGES OF ATTACHMENT January 9, 1990 TO: BOARD OF GOVERNORS NO. 3-90 SEC RULES MEMBERS NO. 2-90 OPERATIONS MEMBERS NO. 2-90 ACCOUNTING/TREASURER MEMBERS NO. 1-90 RE: PROPOSED AMENDMENTS TO MUTUAL FUND REGISTRATION STATEMENT ________________________________________...
January 9, 1990 TO: RESEARCH COMMITTEE NO. 2-90 RE: BACKGROUND MATERIAL FOR PHOENIX MEETINGS @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ I enclose a folder of material which is background to our Research Committee meeting agenda, January 17 and 18, 1990. If you have any...
January 8, 1990 TO: PENSION MEMBERS NO. 1-90 UNIT INVESTMENT TRUST MEMBERS NO. 1-90 SEC RULES COMMITTEE NO. 2-90 RE: FDIC PROPOSES AMENDMENTS TO REGULATIONS CONCERNING PASS-THROUGH INSURANCE __________________________________________________________ The Federal Deposit Insurance...
January 5, 1990 TO: INVESTMENT ADVISER MEMBERS NO. 1-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 1-90 RE: MISSISSIPPI ADOPTS INVESTMENT ADVISER RULES __________________________________________________________ Effective January 15, 1990, new Mississippi investment adviser rules will go...
January 5, 1990 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 1-90 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: MEETING DATES FOR 1990 - MARK YOUR CALENDAR __________________________________________________________ The dates for Accounting Treasurers Committee and Independent Accountants...
January 4, 1990 TO: TAX COMMITTEE NO. 1-90 RE: AGENDA FOR TAX COMMITTEE MEETING - JANUARY 9, 1990 __________________________________________________________ Attached is a copy of the agenda for the Tax Committee meeting on Tuesday, January 9, at 10:00 a.m. The meeting will be held at...
