September 26, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 30-89 SEC RULES MEMBERS NO. 51-89 ACCOUNTING/TREASURERS COMMITTEE NO. 37-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 23-89 UNIT INVESTMENT TRUST MEMBERS NO. 47-89 CUSTODIAN ADVISORY COMMITTEE NO. 1-89 OPERATIONS MEMBERS NO...
September 26, 1989 TO: BOARD OF GOVERNORS NO. 59-89 CLOSED-END FUND COMMITTEE NO. 39-89 SEC RULES COMMITTEE NO. 55-89 UNIT INVESTMENT TRUST COMMITTEE NO. 64-89 RE: FED ORDER PERMITS BANK HOLDING COMPANY SUBSIDIARIES TO UNDERWRITE AFFILIATE SECURITIES __________________________________...
September 26, 1989 TO: BOARD OF GOVERNORS NO. 58-89 STATE SECURITIES MEMBERS NO. 31-89 RE: CALIFORNIA EXPENSE LIMITATION RULE AMENDED __________________________________________________________ The Institute has been working for several years to eliminate expense limitations in all...
September 26, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 40-89 RE: DRAFT LEGISLATION CONCERNING PRIVATE RIGHTS OF ACTION AND ADDITIONAL ADVISER DISCLOSURES TO CLIENTS __________________________________________________________ Representative Rich Boucher (D-Virginia) has prepared draft...
September 26, 1989 TO: SEC RULES COMMITTEE NO. 56-89 RE: INSTITUTE DRAFT COMMENT LETTER ON PROPOSED AMENDMENTS TO RULE 12D3-1 __________________________________________________________ As we previously informed you, the SEC has proposed amendments to Rule 12d3-1 under the Investment...
September 26, 1989 TO: STATE SECURITIES MEMBERS NO. 32-89 UNIT INVESTMENT TRUST MEMBERS NO. 48-89 RE: LEGEND REQUIREMENT IN NEW HAMPSHIRE __________________________________________________________ New Hampshire recently enacted legislation (House Bill 123), effective January 1, 1990...
- 1 - September 25, 1989 TO: TAX MEMBERS NO. 31-89 UNIT INVESTMENT TRUST MEMBERS NO. 46-89 CLOSED-END FUND MEMBERS NO. 41-89 OPERATIONS MEMBERS NO. 27-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 22-89 RE: IRS REVENUE PROCEDURE FOR FILING VARIOUS FORMS ON 8 INCH MAGNETIC...
September 22, 1989 TO: STATE LIAISON COMMITTEE NO. 13-89 RE: NASAA REGULATED INDUSTRY COMMITTEE - MUTUAL FUND REGISTRATION COMPLIANCE STUDY __________________________________________________________ As you know, the Regulated Industry Committee (Committee) of the North American...
September 22, 1989 TO: RESEARCH COMMITTEE NO. 26-89 RE: AGENDA FOR UPCOMING MEETING @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ Enclosed is our agenda for the Research Committee meeting of October 3, 1989. It will begin at 9:00 a.m. at the Madison Hotel, corner...
September 20, 1989 TO: BOARD OF GOVERNORS NO. 57-89 FEDERAL LEGISLATION COMMITTEE NO. 11-89 RE: CONGRESSMAN THOMAS J. MANTON TO ADDRESS FEDERAL LEGISLATION COMMITTEE AND BOARD OF GOVERNORS __________________________________________________________ The Honorable Thomas J. Manton (D-NY)...
September 19, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 42-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of August 31...
September 19, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 43-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING AUGUST, 1989 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending August, 1989. We will continue...
September 18, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 39-89 RE: NEVADA PROPOSES INVESTMENT ADVISER RULE CHANGES __________________________________________________________ The Securities Division of the office of the Nevada Secretary of State is proposing certain changes in the...
September 18, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 63-89 RE: RESALES OF UNITS AFTER REPEAL OF THE VIRGINIA MANUAL EXEMPTION __________________________________________________________ Effective July 1, 1989, Virginia repealed its manual exemption. The Institute has been working...
September 14, 1989 TO: SEC RULES MEMBERS NO. 49-89 UNIT INVESTMENT TRUST COMMITTEE NO. 61-89 INTERNATIONAL FUNDS TASK FORCE NO. 12-89 CLOSED-END FUND COMMITTEE NO. 38-89 RE: INSTITUTE FILES COMMENT LETTER ON REPROPOSED REGULATION S _____________________________________________________...
September 14, 1989 TO: NO-LOAD (FUND/SERV) ADVISORY COMMITTEE NO. 2-89 RE: MEETING AGENDA - SEPTEMBER 12, 1989 __________________________________________________________ Attached is the agenda for the September 12, 1989 No-Load (Fund/Serv) Advisory Committee meeting which is being...
September 14, 1989 TO: SEC RULES MEMBERS NO. 50-89 INTERNATIONAL FUNDS TASK FORCE NO. 13-89 UNIT INVESTMENT TRUST COMMITTEE NO. 62-89 INVESTMENT ADVISERS COMMITTEE NO. 38-89 RE: INSTITUTE COMMENTS ON REPROPOSED RULE 144A __________________________________________________________ The...
September 14, 1989 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 48-89 SMALL FUNDS MEMBERS NO. 7-89 RE: GROUP EMPLOYEE BENEFIT INSURANCE PROGRAM __________________________________________________________ Last year, the Institute introduced the Benefit Source Trust, a new employee...
September 14, 1989 TO: PENSION MEMBERS NO. 44-89 RE: IRS FORMS 4461, 4461-A AND 4461-B __________________________________________________________ Attached are copies of the latest versions of IRS Form 4461, Application for Approval of Master or Prototype and Regional Prototype Defined...
September 14, 1989 TO: AUDIT COMMITTEE NO. 3-89 RE: Meeting, October 4, 1989 __________________________________________________________ A meeting of the Institute's Audit Committee is scheduled for Wednesday, October 4 in the Executive Conference Room at the Institute. The meeting...
September 13, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 60-89 RE: NOTICE OF MEETING, THURSDAY, OCTOBER 19, 1989 __________________________________________________________ A meeting of your committee has been scheduled for 10:00 a.m. on Thursday, October 19, 1989. The meeting will...
September 12, 1989 TO: BOARD OF GOVERNORS NO. 56-89 RE: SECOND CIRCUIT DECISION ON BANK UNDERWRITING OF MORTGAGE-BACKED SECURITIES __________________________________________________________ The U.S. Court of Appeals for the Second Circuit has reversed a decision of the U.S. District...
September 12, 1989 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 36-89 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: MEETING REMINDER AND AGENDA - SEPTEMBER 20, 1989 __________________________________________________________ This is to remind you that the Accounting/Treasurers Committee and...
September 8, 1989 TO: PUBLIC INFORMATION COMMITTEE NO. 24-89 RE: Updated Print Media Contact List __________________________________________________________ Enclosed is our latest update of our national print media contact list. This is not intended to be a comprehensive list of all...
September 7, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 41-89 RE: 1. MEETING AGENDA - SEPTEMBER 26-27, 1989 2. NSCC STATUS REPORT FOR ALL MUTUAL FUND PROJECTS __________________________________________________________ Attached is the agenda for the September 26-27, 1989 Broker...
