November 28, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 50-89 RE: MISSISSIPPI PROPOSES INVESTMENT ADVISER RULE CHANGES __________________________________________________________ Attached is a copy of the relevant portions of the proposed Mississippi rules for investment advisers. The...
November 22, 1989 TO: OPERATIONS MEMBERS NO. 34-89 PENSION MEMBERS NO. 50-89 TRANSFER AGENT ADVISORY COMMITTEE NO. 30-89 RE: IRS REVISIONS TO FORMS W-2P AND 1099-R FOR 1990 __________________________________________________________ Attached is a copy of IRS Announcement 89-151, which...
November 22, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 48-89 BAILEY-WILSON SUBCOMMITTEE RE: DECEMBER 6 MEETING TO INCLUDE DISCUSSION ON RECIPROCAL REGISTRATION OF INVESTMENT ADVISERS IN THE U.S. AND U.K. __________________________________________________________ As we have previously...
November 22, 1989 TO: SEC RULES MEMBERS NO. 64-89 RE: INCREASE IN SEC FILING FEES; EFFECTIVE NOVEMBER 22 __________________________________________________________ For your information, the President yesterday signed into law appropriations for the Securities and Exchange Commission...
November 21, 1989 TO: TAX COMMITTEE NO. 19-89 CLOSED-END FUND COMMITTEE NO. 51-89 INTERNATIONAL FUNDS TASK FORCE NO. 19-89 ACCOUNTING/TREASURERS COMMITTEE NO. 50-89 RE: INSTITUTE COMMENTS ON SECTION 988 REGULATIONS __________________________________________________________ As we...
November 21, 1989 TO: TAX MEMBERS NO. 44-89 ACCOUNTING/TREASURERS COMMITTEE NO. 49-89 RE: INSTITUTE COMMENTS ON APPLICATION OF REGULATIONS UNDER SECTIONS 382 AND 383 TO MUTUAL FUNDS __________________________________________________________ As you may know, concerns have arisen that...
November 21, 1989 TO: TAX MEMBERS NO. 45-89 OPERATIONS MEMBERS NO. 33-89 UNIT INVESTMENT TRUST MEMBERS NO. 63-89 CLOSED-END FUND MEMBERS NO. 64-89 TRANSFER AGENT ADVISORY COMMITTEE NO. 29-89 ACCOUNTING/TREASURERS COMMITTEE NO. 51-89 RE: IRS REVENUE PROCEDURE ON FORM 1042S MAGNETIC...
November 21, 1989 TO: TAX COMMITTEE NO. 20-89 RE: INSTITUTE STATEMENT TO HOUSE WAYS AND MEANS SUBCOMMITTEE REGARDING MISCELLANEOUS REVENUE ISSUES __________________________________________________________ The House Ways and Means Subcommittee on Select Revenue Measures recently held a...
November 21, 1989 TO: PENSION COMMITTEE NO. 17-89 RE: INSTITUTE REQUEST FOR IRS INFORMATION LETTER CONCERNING REVENUE PROCEDURE 89-52 __________________________________________________________ At its recent meeting, the Pension Committee formed a subcommittee to discuss operational...
November 21, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 79-89 RE: INSTITUTE SUBMISSION TO SEC ON UIT YIELD FORMULA __________________________________________________________ At meetings held on November 9 and November 20, a joint task force consisting of representatives of the Unit...
November 20, 1989 TO: PUBLIC INFORMATION COMMITTEE NO. 36-89 RE: Print Media List __________________________________________________________ Enclosed is a corrected version of the print media list we sent you last week. Due to a printing mistake, a page was omitted from the original...
November 20, 1989 TO: CLOSED-END FUND MEMBERS NO. 63-89 RE: NO-ACTION LETTER PERMITTING A CLOSED-END FUND'S DIVIDEND REINVESTMENT PLAN TO ACQUIRE NEWLY ISSUED SHARES WITHOUT REGISTRATION UNDER THE 1933 ACT __________________________________________________________ The Division of...
November 17, 1989 TO: RESEARCH COMMITTEE NO. 33-89 RE: SPECIAL NEWSLETTER ON FUNDS SERVICE @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ The ICI has produced a special issue of Portfolio on the topic of the FUNDS (Fund User Network and Delivery System) electronic...
November 17, 1989 TO: SEC RULES COMMITTEE NO. 73-89 RE: LETTERS FROM OUTSIDE DIRECTORS ON SEC PROPOSAL TO DISCLOSE IDENTITY OF PORTFOLIO MANAGERS __________________________________________________________ As many of you may recall, at the October meeting of the SEC Rules Committee, we...
November 16, 1989 TO: MONEY MARKET FUND CHIEF EXECUTIVE OFFICERS NO. 10-89 TAX MEMBERS NO. 43-89 RE: KENTUCKY PASS-THROUGH OF MUNICIPAL BOND INTEREST __________________________________________________________ As we previously informed you, Kentucky recently revised its Revenue Policy...
November 16, 1989 TO: BOARD OF GOVERNORS NO. 71-89 MEMBERS - ONE PER COMPLEX NO. 37-89 DIRECT MARKETING COMMITTEE NO. 37-89 PUBLIC INFORMATION COMMITTEE NO. 35-89 SALES FORCE MARKETING COMMITTEE NO. 39-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 31-89 RE: Wall Street Journal letter __...
November 15, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 53-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of October 31...
November 15, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 54-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING OCTOBER, 1989 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending October, 1989. We will continue...
November 14, 1989 TO: DIRECT MARKETING COMMITTEE NO. 36-89 PUBLIC INFORMATION COMMITTEE NO. 34-89 SALES FORCE MARKETING COMMITTEE NO. 38-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 30-89 RE: 1990 Committee Meetings and Seminars _________________________________________________________...
November 13, 1989 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 48-89 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: NOTICE OF MEETING - DECEMBER 13, 1989 __________________________________________________________ This is to advise you that the next meeting of the combined Accounting/Treasurers...
November 13, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 36-89 CLOSED-END FUND MEMBERS NO. 62-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 56-89 INVESTMENT ADVISER MEMBERS NO. 56-89 OPERATIONS MEMBERS NO. 32-89 SEC RULES MEMBERS NO. 63-89 UNIT INVESTMENT TRUST MEMBERS NO. 62-89 ACCOUNTING...
November 10, 1989 TO: PUBLIC INFORMATION COMMITTEE NO. 33-89 RE: Updated Media Lists __________________________________________________________ Enclosed for your use are the latest updates of our print and TV-Radio news media contact lists. These lists are NOT intended to be...
November 10, 1989 TO: SEC RULES COMMITTEE NO. 71-89 BROKER/DEALER ADVISORY COMMITTEE NO. 52-89 RE: AMENDMENTS TO SERIES 6 EXAMINATION AND STUDY OUTLINE __________________________________________________________ The NASD has recently amended the examination specifications and study...
November 10, 1989 TO: BOARD OF GOVERNORS NO. 70-89 SEC RULES COMMITTEE NO. 70-89 MONEY MARKET FUND CHIEF EXECUTIVE OFFICERS NO. 9-89 RE: INSTITUTE LETTER TO SEC STAFF CONCERNING REGULATION OF MONEY MARKET FUNDS __________________________________________________________ Attached is a...
