October 5, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 33-89 CLOSED-END FUND MEMBERS NO. 50-89 INVESTMENT ADVISER MEMBERS NO. 50-89 SEC RULES MEMBERS NO. 56-89 UNIT INVESTMENT TRUST MEMBERS NO. 53-89 RE: SUMMARY OF SEC NO-ACTION AND INTERPRETIVE LETTERS - SERIES 46 ________________________...
October 5, 1989 TO: SMALL FUNDS MEMBERS NO. 8-89 RE: SMALL FUNDS 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 4, 1989 TO: OPERATIONS MEMBERS NO. 29-89 SEC RULES MEMBERS NO. 54-89 TAX MEMBERS NO. 33-89 BROKER/DEALER ADVISORY COMMITTEE NO. 44-89 ACCOUNTING/TREASURERS MEMBERS NO. 5-89 RE: YEAR-END DIVIDEND REPORTING __________________________________________________________ During this...
October 4, 1989 TO: TAX MEMBERS NO. 35-89 CLOSED-END FUND MEMBERS NO. 47-89 ACCOUNTING/TREASURERS COMMITTEE NO. 41-89 RE: WAIVER OF OHIO REPORTING REQUIREMENT FOR 1990 __________________________________________________________ As we previously informed you, Ohio recently amended its...
October 4, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 45-89 RE: NOTICE OF MEETING - NOVEMBER 3, 1989 __________________________________________________________ This is to advise you that there will be a meeting of the Broker/Dealer Advisory Committee on Friday, November 3, 1989...
- 1 - October 4, 1989 TO: TAX MEMBERS NO. 34-89 UNIT INVESTMENT TRUST MEMBERS NO. 51-89 CLOSED-END FUND MEMBERS NO. 46-89 OPERATIONS MEMBERS NO. 30-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 25-89 RE: IRS DELAYS MAILING OF B NOTICES UNTIL 1990 _______________________________...
October 4, 1989 TO: CLOSED-END FUND COMMITTEE NO. 41-89 SEC RULES COMMITTEE NO. 59-89 ADVERTISING SUBCOMMITTEE RE: MEETING TO DISCUSS DRAFT COMMENT LETTER ON PROPOSED REVISIONS TO FORM N-2 __________________________________________________________ Attached is a copy of the Institute's...
- 1 - October 3, 1989 TO: SEC RULES MEMBERS NO. 53-89 STATE SECURITIES MEMBERS NO. 33-89 UNIT INVESTMENT TRUST MEMBERS NO. 50-89 CLOSED-END FUND MEMBERS NO. 45-89 RE: AMENDMENTS TO NEW YORK ABANDONED PROPERTY LAW __________________________________________________________ Attached is a...
October 3, 1989 TO: PENSION MEMBERS NO. 45-89 RE: IRS ANNOUNCEMENT EXTENDING DEADLINE FOR SUBMISSION OF MASTER OR PROTOTYPE PLAN AMENDMENTS __________________________________________________________ Attached is a copy of IRS Announcement 89-118, which extends the deadline established...
October 3, 1989 TO: PENSION COMMITTEE NO. 8-89 RE: H.R. 3306, THE PENSION REFORM ACT OF 1989 __________________________________________________________ Attached for your information are copies of H.R. 3306, The Pension Reform Act of 1989, introduced by Representative Kennelly, and the...
October 3, 1989 TO: PENSION COMMITTEE NO. 7-89 RE: S. 1564, EXCESSIVE CHURNING AND SPECULATION ACT OF 1989 __________________________________________________________ Attached for your information are copies of S. 1564, The Excessive Churning and Speculation Act of 1989, introduced by...
October 3, 1989 TO: CLOSED-END FUND MEMBERS NO. 44-89 SEC RULES MEMBERS NO. 52-89 ACCOUNTING/TREASURERS MEMBERS NO. 4-89 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: INSTITUTE COMMENTS ON FASB EXPOSURE DRAFT ON OFF-BALANCE-SHEET RISK DISCLOSURES _________________________________________...
- 1 - October 3, 1989 TO: SEC RULES COMMITTEE NO. 58-89 CLOSED-END FUND COMMITTEE NO. 40-89 UNIT INVESTMENT TRUST COMMITTEE NO. 67-89 INTERNATIONAL FUNDS TASK FORCE NO. 14-89 RE: INSTITUTE COMMENT LETTER ON PROPOSED RULE 12d1-1 _________________________________________________________...
October 2, 1989 TO: FEDERAL LEGISLATION MEMBERS NO. 9-89 FEDERAL LEGISLATION COMMITTEE NO. 12-89 RE: REPORT OF THE CHAIRMAN OF THE FEDERAL LEGISLATION COMMITTEE, OCTOBER 1989 __________________________________________________________ Attached is a copy of the Report of the Chairman of...
October 2, 1989 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 39-89 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: CALIFORNIA EXPENSE LIMITATION __________________________________________________________ The Institute inadvertently neglected to distribute to the Accounting/Treasurers Committee...
October 16, 1989 TO: BOARD OF GOVERNORS NO. 61-89 DIRECT MARKETING COMMITTEE NO. 29-89 FEDERAL LEGISLATION COMMITTEE NO. 13-89 MARKETING COMMITTEE NO. 25-89 OPERATIONS COMMITTEE NO. 19-89 PENSION COMMITTEE NO. 6-89 PUBLIC INFORMATION COMMITTEE NO. 26-89 RESEARCH COMMITTEE NO. 28-89...
September 29, 1989 TO: RESEARCH COMMITTEE NO. 27-89 MEMBERS - ONE PER COMPLEX NO. 31-89 DIRECT MARKETING COMMITTEE NO. 28-89 MARKETING COMMITTEE NO. 24-89 PUBLIC INFORMATION COMMITTEE NO. 25-89 SALES FORCE MARKETING COMMITTEE NO. 29-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 23-89...
September 29, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 66-89 RE: RESALES OF UNITS AFTER REPEAL OF THE VIRGINIA MANUAL EXEMPTION __________________________________________________________ As the Institute has previously informed you, the Virginia Division of Securities recently...
September 28, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 41-89 RE: INVESTMENT ADVISERS COMMITTEE AGENDA __________________________________________________________ Attached is the proposed agenda for the Investment Advisers Committee meeting which will be held on Tuesday, October 10...
September 28, 1989 TO: BOARD OF GOVERNORS NO. 60-89 RE: FY 1989-1990 BUDGET __________________________________________________________ Enclosed is the proposed budget for the Institute's fiscal year starting October 1, 1989 which has been reviewed and approved by the Executive...
September 28, 1989 TO: OPERATIONS COMMITTEE NO. 18-89 RE: NOTICE OF COMMITTEE MEETING - OCTOBER 18, 1989 __________________________________________________________ This is to inform you that the next meeting of the Operations Committee will be held on Wednesday, October 18, 1989 in...
September 27, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 48-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 50-89 RE: SEC DIVISION DIRECTOR ISSUES LETTER ON WRAP-FEE ARRANGEMENTS __________________________________________________________ On September 20, 1989, Kathryn McGrath, the Director...
September 27, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 65-89 RE: REPORT OF THE YIELD SUBCOMMITTEE __________________________________________________________ As you know, the SEC has asked that the Institute submit a unit trust performance proposal by December 7. Attached is a copy...
September 27, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 49-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 51-89 RE: INSTITUTE COMMENTS ON LEGISLATION THAT WOULD PERMIT THE CREATION OF ONE OR MORE SELF-REGULATORY ORGANIZATIONS FOR INVESTMENT ADVISERS ________________________________________...
- 1 - September 27, 1989 TO: TAX MEMBERS NO. 32-89 CLOSED-END FUND MEMBERS NO. 43-89 UNIT INVESTMENT TRUST MEMBERS NO. 49-89 ACCOUNTING/TREASURERS COMMITTEE NO. 38-89 OPERATIONS COMMITTEE NO. 17-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 24-89 RE: HOUSE WAYS AND MEANS...
