September 6, 1989 TO: PENSION COMMITTEE NO. 5-89 TAX COMMITTEE NO. 15-89 RE: NOTICE OF MEETINGS, WEDNESDAY, OCTOBER 25, 1989 __________________________________________________________ The Tax and Pension Committee meetings have been scheduled for Wednesday, October 25, 1989 at 10:00 a...
September 5, 1989 TO: SMALL FUNDS MEMBERS NO. 6-89 RE: 1989 OPERATIONS CONFERENCE __________________________________________________________ Recently, the Institute announced its 1989 Operations Conference for investment companies, to be held at The Peabody Hotel in Orlando, Florida...
September 1, 1989 TO: SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 21-89 RE: Agenda for Upcoming Meeting Minutes of Previous Meeting __________________________________________________________ Enclosed, along with the minutes of the Spring 1989 meeting, is a preliminary agenda for the...
September 1, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 37-89 RE: NASAA PROPOSED REVISIONS TO THE MODEL INVESTMENT ADVISER RULES __________________________________________________________ On Sunday, September 10, 1989, the North American Securities Administrators Association, Inc.'s...
September 1, 1989 TO: BOARD OF GOVERNORS NO. 55-89 MONEY MARKET FUND CHIEF EXECUTIVE OFFICERS NO. 7-89 RE: OKLAHOMA SECURITIES COMMISSION MEETING ON MONEY MARKET FUND ADVERTISING __________________________________________________________ On Wednesday, August 30, the Institute appeared...
September 1, 1989 TO: CLOSED-END FUND COMMITTEE NO. 37-89 RE: NOTICE OF CLOSED-END FUND COMMITTEE MEETING, OCTOBER 18, 1989 __________________________________________________________ A meeting of the Closed-End Fund Committee has been scheduled for 10 a.m. on Wednesday, October 18...
September 1, 1989 TO: SEC RULES COMMITTEE NO. 54-89 OPERATIONS COMMITTEE NO. 15-89 UNIT INVESTMENT TRUST COMMITTEE NO. 59-89 RE: SEPTEMBER 19 MEETING TO DISCUSS PROBLEMS WITH IMPLEMENTING INVESTMENT COMPANY ACT RULE 11A-3 __________________________________________________________ As...
September 1, 1989 TO: SEC RULES COMMITTEE NO. 53-89 RE: NOTICE OF MEETING, OCTOBER 10, 1989 __________________________________________________________ The SEC Rules Committee meeting has been scheduled for Tuesday, October 10, 1989 at 10:00 a.m. The meeting will be held in the South...
August 31, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 58-89 RE: VERMONT PROPOSES REPEAL OF THE MANUAL EXEMPTION __________________________________________________________ As you know, over the past several months many states have attempted to repeal or amend their manual exemption...
August 31, 1989 TO: INTERNATIONAL FUNDS TASK FORCE NO. 11-89 RE: 1990 NATIONAL TREATMENT STUDY __________________________________________________________ The U.S. Treasury is beginning to work on the 1990 National Treatment Study. The purpose of the Study is to report to Congress on...
August 31, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 57-89 RE: WASHINGTON MANUAL EXEMPTION __________________________________________________________ As you know, the manual exemption has been attacked in some states because state administrators believe that securities that could...
September 5, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 47-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 47-89 RE: SEC SANCTIONS ADVISER FOR VIOLATIONS OF RECORDKEEPING, BROCHURE, CUSTODY, AND OTHER ADVISER ACT RULES __________________________________________________________ On July 25...
September 5, 1989 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 46-89 INVESTMENT ADVISER MEMBERS NO. 46-89 RE: INSTITUTE HOLDS INVESTMENT ADVISERS CONFERENCE __________________________________________________________ The Institute will hold its annual Investment Advisers Conference on...
August 30, 1989 TO: SMALL FUNDS MEMBERS NO. 5-89 RE: SMALL FUNDS CONFERENCE - NOVEMBER 15-17, 1989 __________________________________________________________ You are cordially invited to attend the annual Small Funds Conference which is scheduled for November 15-17, 1989 at the Hotel...
August 30, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 36-89 RE: NOTICE OF MEETING, OCTOBER 10, 1989 __________________________________________________________ A meeting of your committee has been scheduled for Tuesday, October 10, 1989 at 1:30 p.m. following a joint luncheon with the...
August 29, 1989 TO: SEC RULES MEMBERS NO. 48-89 UNIT INVESTMENT TRUST MEMBERS NO. 45-89 BROKER/DEALER ADVISORY COMMITTEE NO. 40-89 CLOSED-END FUND MEMBERS NO. 39-89 RE: NASD SUPERVISORY PROCEDURES CHECKLIST __________________________________________________________ Attached is a...
September 1, 1989 TO: BOARD OF GOVERNORS NO. 54-89 MEMBERS - ONE PER COMPLEX NO. 29-89 FEDERAL LEGISLATION COMMITTEE NO. 10-89 MARKETING COMMITTEE NO. 22-89 TAX COMMITTEE NO. 14-89 RE: Conference on Saving __________________________________________________________ As part of the...
August 28, 1989 TO: SALES FORCE MARKETING COMMITTEE NO. 27-89 RE: Agenda for Upcoming Meeting __________________________________________________________ Attached is our agenda for the upcoming meeting of the Sales Force Marketing Committee. The meeting will be held at 9:30 a.m. on...
August 28, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 56-89 RE: PERFORMANCE NUMBERS FOR EXISTING SERIES __________________________________________________________ Kathie McGrath called me on Friday, August 25th to reopen this issue. I urged her to leave it alone at this time due to...
August 25, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 55-89 RE: MEETING ON YIELD FORMULA __________________________________________________________ As we previously informed you, the staff of the SEC has requested that the industry submit a formula for a long-term yield number no...
August 25, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 28-89 RE: 1988 INSTITUTIONAL SURVEY __________________________________________________________ The enclosed two pages are replacement sheets for the 1988 Institutional Survey (No. 20-89) which was mailed July 26, 1989. Please insert...
August 25, 1989 TO: BOARD OF GOVERNORS NO. 53-89 SEC RULES MEMBERS NO. 47-89 UNIT INVESTMENT TRUST MEMBERS NO. 44-89 RE: FINANCIAL INSTITUTIONS REFORM, RECOVERY AND ENFORCEMENT ACT OF 1989 __________________________________________________________ The President has signed into law the...
August 25, 1989 TO: PUBLIC INFORMATION COMMITTEE NO. 23-89 RE: Agenda for September 28 Committee Meeting __________________________________________________________ Attached is an agenda for the next meeting of the Public Information Committee, which will be held at 2:00 p.m. on...
- 1 - August 24, 1989 TO: PENSION COMMITTEE NO. 4-89 RE: INSTITUTE LETTER TO DEPARTMENT OF LABOR CONCERNING IRA PREMIUMS __________________________________________________________ As we previously advised, the Department of Labor recently issued an advisory opinion that concluded that...
