August 24, 1989 TO: SEC RULES COMMITTEE NO. 52-89 CLOSED-END FUND COMMITTEE NO. 36-89 UNIT INVESTMENT TRUST COMMITTEE NO. 54-89 INTERNATIONAL FUNDS TASK FORCE NO. 10-89 RE: MEETING ON FOREIGN INVESTMENT RULES RESCHEDULED FOR SEPTEMBER 12 _______________________________________________...
August 23, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 39-89 RE: NOTICE OF TWO-DAY MEETING - SEPTEMBER 26-27, 1989 __________________________________________________________ This is to confirm the two-day meeting of the Broker/Dealer Advisory Committee on Tuesday, September 26 and...
- 1 - August 23, 1989 TO: BOARD OF GOVERNORS NO. 52-89 SEC RULES MEMBERS NO. 46-89 PENSION MEMBERS NO. 43-89 RE: SEC ORDER CONCERNING CREF PROCEEDING __________________________________________________________ As we previously advised, the Securities and Exchange Commission ordered a...
August 23, 1989 TO: MARKETING COMMITTEE NO. 21-89 RESEARCH COMMITTEE NO. 24-89 RE: INTERNATIONAL FUNDS TASK FORCE MEETING __________________________________________________________ The Institute plans to hold a meeting of the International Funds Task Force in Washington on September...
- 1 - August 22, 1989 TO: SEC RULES MEMBERS NO. 45-89 PENSION MEMBERS NO. 42-89 INVESTMENT ADVISER MEMBERS NO. 45-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 45-89 RE: DEPARTMENT OF LABOR SETTLEMENT OF INVESTIGATION REGARDING ERROR CORRECTION PRACTICES ________________________________...
- 1 - August 22, 1989 TO: BOARD OF GOVERNORS NO. 51-89 RE: COURT OF APPEALS FINDS IN FAVOR OF FUTURES EXCHANGES IN INDEX PARTICIPATION CASE __________________________________________________________ The U.S. Court of Appeals for the Seventh Circuit has ruled in favor of the futures...
August 21, 1989 TO: NO-LOAD (FUND/SERV) ADVISORY COMMITTEE NO. 1-89 RE: NOTICE OF MEETING - SEPTEMBER 12, 1989 ________________________________________________________ This is to inform you that the Investment Company Institute will hold its first meeting of the new No-Load (Fund/SERV...
August 21, 1989 TO: BOARD OF GOVERNORS NO. 50-89 MONEY MARKET FUND CHIEF EXECUTIVE OFFICERS NO. 6-89 SEC RULES MEMBERS NO. 44-89 RE: NASD CHANGES METHOD FOR CALCULATING YIELDS FOR MONEY MARKET FUNDS __________________________________________________________ The Board of Governors of...
August 17, 1989 TO: DIRECT MARKETING COMMITTEE NO. 26-89 RE: Agenda for Upcoming Meeting __________________________________________________________ Attached is an agenda for the upcoming meeting of the Direct Marketing Committee. The meeting will be held at 2:00 on September 27, 1989...
August 17, 1989 TO: BOARD OF GOVERNORS NO. 48-89 RE: MEETING REGARDING INDEXATION OF CAPITAL GAINS __________________________________________________________ As set forth in the attached memorandum, a meeting of the Institute's Tax Committee and Accounting/Treasurer Committee has been...
August 17, 1989 TO: TAX COMMITTEE NO. 13-89 ACCOUNTING/TREASURERS COMMITTEE NO. 34-89 RE: SPECIAL MEETING REGARDING INDEXATION OF CAPITAL GAINS __________________________________________________________ As you know, recent negotiations over the Administration's proposal to reduce the...
August 17, 1989 TO: BOARD OF GOVERNORS NO. 49-89 RE: NOTICE OF MEETING - OCTOBER 4 & 5, 1989 __________________________________________________________ A meeting of the Board of Governors has been scheduled for Thursday, October 5, 1989 at 10:00 a.m. The meeting will be held at the...
August 17, 1989 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 35-89 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: NOTICE OF MEETING - SEPTEMBER 20, 1989 __________________________________________________________ The next meeting of the Accounting/Treasurers Committee and the Independent...
August 17, 1989 TO: STATE LIAISON COMMITTEE NO. 12-89 RE: CORRECTED NOTICE OF STATE LIAISON COMMITTEE MEETING - SEPTEMBER 26, 1989 __________________________________________________________ The meeting of the State Liaison Committee is scheduled for 10:00 a.m. on Tuesday, September 26...
August 16, 1989 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 33-89 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: FASB EXPOSURE DRAFT - DISCLOSURE OF INFORMATION ABOUT FINANCIAL INSTRUMENTS WITH OFF-BALANCE-SHEET RISK AND FINANCIAL INSTRUMENTS WITH CONCENTRATIONS OF CREDIT RISK _______________...
August 15, 1989 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 32-89 CLOSED-END FUND MEMBERS NO. 38-89 INVESTMENT ADVISER MEMBERS NO. 43-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 43-89 SEC RULES MEMBERS NO. 43-89 RE: SEC ADOPTS EXAMINATION CERTIFICATE FORMS FOR ACCOUNTANTS ________________...
August 15, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 52-89 RE: UPDATE ON PERFORMANCE NUMBERS __________________________________________________________ Yesterday, several unit trust sponsors met with the SEC staff on the issue of performance numbers. As a result of the discussions...
August 15, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 51-89 RE: LET'S WORK TOGETHER __________________________________________________________ As you know from the Investment Company Institute memo accompanying this memo the UIT Committee must submit a yield formula to the staff of...
August 14, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 38-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of July 31, 1989...
August 14, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 37-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING JULY, 1989 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending July, 1989. We will continue to send...
August 14, 1989 TO: STATE LIAISON COMMITTEE NO. 11-89 RE: NOTICE OF STATE LIAISON COMMITTEE MEETING SEPTEMBER 26, 1989 __________________________________________________________ A meeting of the State Liaison Committee has been scheduled for noon on Tuesday, September 26, 1989. The...
- 1 - August 11, 1989 TO: TAX COMMITTEE NO. 12-89 RE: HOUSE WAYS AND MEANS COMMITTEE DRAFT VERSION OF REVENUE RECONCILIATION ACT OF 1989 __________________________________________________________ Congress recessed last week before the House Ways and Means Committee completed its...
August 11, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 50-89 RE: SEC ADOPTS RULE 11a-3; TAKES NO ACTION ON RULE 11c-1 __________________________________________________________ The SEC has adopted Rule 11a-3 under the Investment Company Act, governing exchange offers by mutual funds...
