November 9, 1989 TO: DIRECT MARKETING COMMITTEE NO. 35-89 MARKETING COMMITTEE NO. 28-89 PUBLIC INFORMATION COMMITTEE NO. 32-89 RESEARCH COMMITTEE NO. 32-89 SALES FORCE MARKETING COMMITTEE NO. 37-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 29-89 RE: JOINT COMMITTEE MEETINGS, JANUARY 17...
November 9, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 46-89 SEC RULES COMMITTEE NO. 69-89 RE: MEETING TO DISCUSS RECIPROCAL REGISTRATION OF INVESTMENT ADVISERS IN THE U.S. AND U.K. __________________________________________________________ The SEC and the Investment Management...
November 9, 1989 TO: OPERATIONS COMMITTEE NO. 23-89 RE: RPO QUESTIONNAIRE __________________________________________________________ Because of the increasing pressure from States to force investment companies to surrender abandoned property (returned dividend and redemption checks...
November 9, 1989 TO: STATE SECURITIES MEMBERS NO. 41-89 UNIT INVESTMENT TRUST MEMBERS NO. 61-89 RE: COMMENTS ON MISSISSIPPI'S PROPOSED FEE CHANGE __________________________________________________________ The Mississippi Division of Securities recently asked for input regarding...
November 8, 1989 TO: BOARD OF GOVERNORS NO. 69-89 MEMBERS - ONE PER COMPLEX NO. 35-89 DIRECT MARKETING COMMITTEE NO. 34-89 MARKETING COMMITTEE NO. 27-89 PUBLIC INFORMATION COMMITTEE NO. 31-89 RESEARCH COMMITTEE NO. 31-89 SALES FORCE MARKETING COMMITTEE NO. 34-89 SHAREHOLDER...
November 8, 1989 TO: SALES FORCE MARKETING COMMITTEE NO. 35-89 RE: Minutes and Upcoming Meetings __________________________________________________________ Enclosed for your review are minutes of the September 27, 1989, meeting of the Sales Force Marketing Committee held in Wasington...
November 8, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 76-89 RE: VIRGINIA LEGISLATIVE UPDATE __________________________________________________________ As we have previously informed you, the Institute is seeking legislation in Virginia which would eliminate the requirement that...
November 8, 1989 TO: PENSION COMMITTEE NO. 14-89 RE: IOWA 403(b) LEGISLATION __________________________________________________________ Attached is a copy of legislation that became effective on July 1, 1988 and permits the investment of Iowa employees' section 403(b) contributions in...
November 8, 1989 TO: SALES FORCE MARKETING COMMITTEE NO. 36-89 RE: Minutes and Upcoming Meetings __________________________________________________________ Enclosed for your review are minutes of the September 27, 1989, meeting of the Sales Force Marketing Committee held in Washington...
November 8, 1989 TO: PENSION COMMITTEE NO. 15-89 RE: INSTITUTE LETTER TO IRS CONCERNING DELAY IN ISSUANCE OF PROTOTYPE PLAN OPINION LETTERS __________________________________________________________ As we discussed at the recent Pension Committee meeting, the IRS has indicated that...
November 7, 1989 TO: STATE SECURITIES MEMBERS NO. 40-89 BLUE SKY GUIDE RECIPIENTS RE: LOS ANGELES OFFICE OF CALIFORNIA DEPARTMENT OF CORPORATIONS HAS NEW ADDRESS __________________________________________________________ You may recall that because of a fire last March, the Los...
November 7, 1989 TO: SEC RULES COMMITTEE NO. 67-89 RE: SPECIAL MEETING DURING SEC/ICI PROCEDURES CONFERENCE __________________________________________________________ Those of you who are planning to attend the 1989 SEC/ICI Procedures Conference are invited to attend a special meeting...
November 6, 1989 TO: RESEARCH COMMITTEE NO. 30-89 RE: REDEMPTION SURVEYS AND JANUARY MEETING DATES @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ 1. At our recent October Committee meeting many members indicated they had undertaken redemption studies for their funds...
November 3, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 75-89 RE: REVISED UNIT INVESTMENT TRUST YIELD FORMULA __________________________________________________________ Attached is a memorandum from Cadmus Hicks setting forth a revision to the formula adopted by the Committee on...
- 1 - November 3, 1989 TO: BOARD OF GOVERNORS NO. 68-89 SEC RULES COMMITTEE NO. 66-89 CLOSED-END FUND COMMITTEE NO. 48-89 UNIT INVESTMENT TRUST COMMITTEE NO. 74-89 RE: FED APPROVES APPLICATION OF BANK HOLDING COMPANY TO ENGAGE IN PRIVATE PLACEMENTS, BUT EXCLUDES SHARES OF AFFILIATED...
November 2, 1989 TO: PENSION MEMBERS NO. 49-89 RE: IRS EXTENSION OF CUT-OFF DATE FOR ADOPTING MODEL CODA AMENDMENT __________________________________________________________ Earlier this year, the IRS announced that it would discontinue the model amendment published in Notice 87-34...
November 2, 1989 TO: SEC RULES COMMITTEE NO. 65-89 CLOSED-END FUND COMMITTEE NO. 47-89 UNIT INVESTMENT TRUST COMMITTEE NO. 73-89 INVESTMENT ADVISERS COMMITTEE NO. 44-89 RE: INSTITUTE COMMENT LETTER ON AMENDMENTS TO RULES UNDER SECTION 16 _______________________________________________...
November 1, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 43-89 BAILEY/WILSON SUBCOMMITTEE RE: INSTITUTE TO HOLD MEETING CONCERNING WRAP FEE ARRANGEMENTS AND ERISA BONDING __________________________________________________________ As we have previously informed you, Kathryn McGrath...
November 1, 1989 TO: PENSION COMMITTEE NO. 13-89 RE: TIAA-CREF MAILING TO EMPLOYERS __________________________________________________________ As you know, the SEC in August approved the settlement agreement filed in the TIAA-CREF proceeding. TIAA-CREF is required under the agreement...
October 31, 1989 TO: SMALL FUNDS MEMBERS NO. 10-89 RE: SEC PROPOSES AMENDMENTS TO NET CAPITAL RULE __________________________________________________________ The Securities and Exchange Commission has proposed amendments to the net capital rule under the Securities Exchange Act of...
October 31, 1989 TO: BOARD OF GOVERNORS NO. 66-89 RE: January, 1990 Board of Governors Meeting __________________________________________________________ The Institute's Board of Governors Winter meeting will be held January 23-25, 1990 at The Boulders in Carefree, Arizona. The...
October 31, 1989 TO: BOARD OF GOVERNORS NO. 67-89 MEMBERS - ONE PER COMPLEX NO. 34-89 DIRECT MARKETING COMMITTEE NO. 33-89 PUBLIC INFORMATION COMMITTEE NO. 30-89 SALES FORCE MARKETING COMMITTEE NO. 33-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 27-89 RE: Reply to Wall Street Journal...
October 31, 1989 TO: SMALL FUNDS MEMBERS NO. 9-89 RE: SMALL FUND CONFERENCE - REMINDER NOVEMBER 15-17, 1989 __________________________________________________________ We wish to remind you that the Institute's annual Small Funds Conference is scheduled for November 15-17, 1989 at the...
October 30, 1989 TO: CLOSED-END FUND COMMITTEE NO. 46-89 RE: PENDING TENDER OFFER LEGISLATION __________________________________________________________ Senator Shelby has introduced the "Investor Equality Act of 1989", which would amend the Securities Exchange Act of 1934 to require...
