January 4, 1990 TO: DIRECT MARKETING COMMITTEE NO. 1-90 PUBLIC INFORMATION COMMITTEE NO. 1-90 RESEARCH COMMITTEE NO. 1-90 SALES FORCE MARKETING COMMITTEE NO. 1-90 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 1-90 RE: JOINT WINTER COMMITTEE MEETINGS ________________________________________...
January 3, 1990 TO: BOARD OF GOVERNORS NO. 1-90 RE: TREASURY STUDY OF FEDERAL DEPOSIT INSURANCE __________________________________________________________ As directed by the Financial Institutions Reform, Recovery, and Enforcement Act of 1989, the Department of the Treasury is...
January 3, 1990 TO: BOARD OF GOVERNORS NO. 2-90 SEC RULES MEMBERS NO. 1-90 RULE 12b-1 AD HOC COMMITTEE RE: INSTITUTE COMMENTS ON NASD PROPOSAL TO REQUIRE DISCLOSURE OF DEFERRED SALES CHARGE ON CONFIRMATION STATEMENT __________________________________________________________ As we...
January 3, 1990 TO: CLOSED-END FUND COMMITTEE NO. 1-90 RE: NOTICE OF CLOSED-END FUND COMMITTEE MEETING FEBRUARY 6, 1990 __________________________________________________________ A meeting of the Closed-End Fund Committee has been scheduled for 10 a.m. Tuesday, February 6, 1990. This...
January 2, 1990 TO: SEC RULES COMMITTEE NO. 1-90 INTERNATIONAL FUNDS TASK FORCE NO. 1-90 RE: GUIDELINES FOR LICENSING NON-JAPANESE INVESTMENT TRUST MANAGEMENT FIRMS __________________________________________________________ As you may know, the Japanese Ministry of Finance recently...
December 29, 1989 TO: ACCOUNTING/TREASURERS MEMBERS NO. 9-89 CLOSED-END FUND MEMBERS NO. 72-89 TAX MEMBERS NO. 52-89 RE: 1990 SUBCHAPTER M COMPLIANCE WORKSHOPS __________________________________________________________ The Investment Company Institute is sponsoring a series of...
December 29, 1989 TO: PENSION COMMITTEE NO. 22-89 RE: AGENDA FOR PENSION COMMITTEE MEETING - JANUARY 9, 1990 __________________________________________________________ Attached is a copy of the Pension Committee Agenda for the Tuesday, January 9, 1990 meeting at 1:30 p.m. The meeting...
December 29, 1989 TO: PENSION COMMITTEE NO. 21-89 RE: DRAFT INSTITUTE LETTER CONCERNING HOLD-HARMLESS AGREEMENTS __________________________________________________________ The Pension Committee's subcommittee on California hold- harmless agreements met on December 12, and recommended...
December 29, 1989 TO: BOARD OF GOVERNORS NO. 79-89 SEC RULES COMMITTEE NO. 82-89 RE: FED ORDER ALLOWS BANK HOLDING COMPANY SUBSIDIARY TO BROKER SHARES OF AFFILIATED FUNDS __________________________________________________________ In an order issued December 20, 1989, the Federal...
December 27, 1989 TO: UNIT INVESTMENT TRUST MEMBERS NO. 74-89 RE: PENNSYLVANIA ADOPTS OVERSALES POLICY __________________________________________________________ The Pennsylvania Securities Commission recently issued Corporation Finance Release 89-CF-7 that codifies the Commission's...
December 27, 1989 TO: SEC RULES COMMITTEE NO. 81-89 RE: AD HOC COMMITTEE TO EXAMINE PROSPECTUS DISCLOSURE REQUIREMENTS __________________________________________________________ As you know, the SEC has proposed an amendment to the Form N-2 requiring disclosure of fund portfolio...
December 27, 1989 TO: STATE SECURITIES MEMBERS NO. 46-89 UNIT INVESTMENT TRUST MEMBERS NO. 73-89 RE: CLARIFICATION OF MARYLAND INDEFINITE REGISTRATION PROCEDURE __________________________________________________________ As you know, effective July 1, 1989, Maryland adopted a provision...
December 26, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 87-89 RE: LETTER TO FDIC REGARDING PASS-THROUGH OF DEPOSIT INSURANCE __________________________________________________________ As you know, the Institute has submitted a comment letter to the FDIC in connection with its study...
December 26, 1989 TO: TAX MEMBERS NO. 51-89 MONEY MARKET FUND CHIEF EXECUTIVE OFFICERS NO. 12-89 RE: PASS-THROUGH OF FEDERAL OBLIGATION INTEREST - NORTH CAROLINA __________________________________________________________ North Carolina has modified the manner and extent to which it...
December 26, 1989 TO: SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 33-89 RE: Agenda for Next Meeting; Minutes of Last Meeting __________________________________________________________ Enclosed, along with the minutes of the Fall 1989 meeting, is a preliminary agenda for the upcoming...
December 22, 1989 TO: STATE SECURITIES MEMBERS NO. 45-89 RE: PENNSYLVANIA ADOPTS OVERSALES POLICY __________________________________________________________ The Pennsylvania Securities Commission recently issued Corporation Finance Release 89-CF-7 that codifies the Commission's policy...
December 22, 1989 TO: SALES FORCE MARKETING COMMITTEE NO. 43-89 RE: JANUARY 19 MEETING __________________________________________________________ Enclosed is our preliminary agenda for the January 19 meeting of the Sales Force Marketing Committee to be held at 8:30 a.m. at The Pointe...
December 22, 1989 TO: TAX COMMITTEE NO. 23-89 RE: JANUARY TAX COMMITTEE DISCUSSION OF POSSIBLE 1990 TAX LEGISLATIVE PROPOSALS __________________________________________________________ The 1990 Congressional session may provide an opportunity to amend the tax laws affecting regulated...
December 22, 1989 TO: PUBLIC INFORMATION COMMITTEE NO. 38-89 RE: Agenda for Upcoming January Meeting and Minutes of Last Meeting in September __________________________________________________________ Enclosed is the agenda for the upcoming meeting of the Public Information Committee...
December 22, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 86-89 RE: VIRGINIA LEGISLATIVE UPDATE __________________________________________________________ As we have previously informed you, the Institute is seeking legislation in Virginia which would eliminate the requirement that...
December 27, 1989 TO: BOARD OF GOVERNORS NO. 78-89 SEC RULES MEMBERS NO. 74-89 RE: LETTER TO SEC CONCERNING LENGTH OF PROSPECTUSES __________________________________________________________ As you know, the SEC has proposed an amendment to the registration statement for closed-end...
December 22, 1989 TO: SALES FORCE MARKETING COMMITTEE NO. 42-89 RE: JANUARY 19 MEETING __________________________________________________________ Enclosed is our preliminary agenda for the January 19 meeting of the Sales Force Marketing Committee to be held at 8:30 a.m. at The Pointe...
- 1 - December 22, 1989 TO: PENSION COMMITTEE NO. 20-89 RE: IRS ANNOUNCES NON-ENFORCEMENT POSITION CONCERNING CERTAIN PROHIBITED TRANSACTIONS INVOLVING IRAs __________________________________________________________ As you know, the U.S. Department of Labor earlier this year issued an...
December 22, 1989 TO: STATE SECURITIES MEMBERS NO. 44-89 RE: SERIES FUND FEE CHANGE - ILLINOIS __________________________________________________________ The Institute has recently been advised that the Illinois Securities Department has amended Regulation 130.110 regarding payment of...
