June 8, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 25-89 RE: 1. MEETING AGENDAS - JUNE 15-16, 1989 2. NSCC TOPICS __________________________________________________________ Attached are the agendas for the June 15-16, 1989 Broker/Dealer Advisory Committee meetings. Also attached is...
June 7, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 33-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 33-89 RE: NORTH DAKOTA PASSES INVESTMENT ADVISER LEGISLATION __________________________________________________________ North Dakota has enacted North Dakota Senate Bills 2246 and 2175...
June 7, 1989 TO: PUBLIC INFORMATION COMMITTEE NO. 19-89 RE: MINUTES OF APRIL 26 MEETING __________________________________________________________ Attached are the minutes of the April 26, 1989 Public Information Committee meeting, which was held at the University Club in Washington...
June 7, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 31-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 31-89 RE: ILLINOIS AMENDS INVESTMENT ADVISER LAW __________________________________________________________ Effective July 1, 1989, investment advisers and investment adviser representatives...
June 7, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 32-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 32-89 RE: INDIANA PASSES INVESTMENT ADVISER LAW __________________________________________________________ Effective July 1, 1989, investment advisers and investment adviser representatives...
June 7, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 30-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 30-89 RE: MARYLAND PASSES INVESTMENT ADVISER LAW __________________________________________________________ On May 25, 1989, Maryland Governor William Donald Schaefer signed Maryland House...
June 7, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 19-89 CLOSED-END FUND MEMBERS NO. 24-89 INVESTMENT ADVISER MEMBERS NO. 34-89 SEC RULES MEMBERS NO. 28-89 UNIT INVESTMENT TRUST MEMBERS NO. 31-89 RE: SUMMARY OF SEC NO-ACTION AND INTERPRETIVE LETTERS - SERIES 45 ___________________________...
June 7, 1989 TO: STATE SECURITIES MEMBERS NO. 20-89 BLUE SKY GUIDE RECIPIENTS RE: ALASKA'S SALES REPORT REQUIREMENT AND MISSOURI'S SALES REPORT FORM __________________________________________________________ We are pleased to inform you that we have confirmed with the Alaska...
June 1, 1989 TO: RESEARCH COMMITTEE NO. 17-89 RE: DEVELOPING A RESEARCH AGENDA FOR FISCAL 1989-1990 @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ Enclosed is a compilation of research activity and proposed projects for the fiscal year 1989-1990 which will be...
June 5, 1989 TO: MARKETING COMMITTEE NO. 16-89 RE: MEETING NOTICE, JUNE 23, 1989 __________________________________________________________ A meeting of the Marketing Committee has been called for 10:00 a.m. Friday, June 23, 1989 in the Institute Offices, 1600 M Street, N.W., Suite...
June 2, 1989 TO: BOARD OF GOVERNORS NO. 35-89 RE: INSTITUTE BRIEF SUBMITTED IN ACTION ON INDEX PARTICIPATIONS __________________________________________________________ Attached is a copy of the brief filed by the Institute in its action before the U.S. Court of Appeals for the...
June 1, 1989 TO: SMALL FUNDS MEMBERS NO. 3-89 RE: Generic Sales Literature, Audio-Visuals, and Training Materials __________________________________________________________ In response to expression of interest at the May 24 meeting of the committee, I am sending you: (1) a catalog...
June 1, 1989 TO: BOARD OF GOVERNORS NO. 34-89 CLOSED-END FUND COMMITTEE NO. 17-89 DIRECT MARKETING COMMITTEE NO. 22-89 MARKETING COMMITTEE NO. 15-89 OPERATIONS COMMITTEE NO. 9-89 PUBLIC INFORMATION COMMITTEE NO. 18-89 RESEARCH COMMITTEE NO. 16-89 SALES FORCE MARKETING COMMITTEE NO. 22...
May 30, 1989 TO: FEDERAL LEGISLATION MEMBERS NO. 7-89 FEDERAL LEGISLATION COMMITTEE NO. 7-89 RE: REPORT OF THE CHAIRMAN OF THE FEDERAL LEGISLATION COMMITTEE, MAY 1989 __________________________________________________________ Attached is a copy of the Report of the Chairman of the...
- 1 - May 26, 1989 TO: PENSION MEMBERS NO. 26-89 RE: IRS PROPOSED REGULATIONS CONCERNING MINIMUM COVERAGE AND PARTICIPATION REQUIREMENTS __________________________________________________________ Attached is a copy of recent IRS proposed regulations concerning the minimum coverage...
May 24, 1989 TO: STATE SECURITIES MEMBERS NO. 19-89 UNIT INVESTMENT TRUST MEMBERS NO. 30-89 RE: CALIFORNIA DEPARTMENT OF CORPORATIONS - LOS ANGELES OFFICE NEW ADDRESS __________________________________________________________ As many of you know, in March, 1989, there was a fire in...
May 24, 1989 TO: SALES FORCE MARKETING COMMITTEE NO. 21-89 RE: MINUTES OF LAST MEETING __________________________________________________________ Attached are the minutes of the last meeting of the Sales Force Marketing Committee, which was held on April 27, 1989 in Washington, D.C...
May 23, 1989 TO: TAX MEMBERS NO. 16-89 MONEY MARKET FUND CHIEF EXECUTIVE OFFICERS NO. 4-89 UNIT INVESTMENT TRUST MEMBERS NO. 29-89 RE: INDIANA INTANGIBLES TAX REPEAL __________________________________________________________ As we previously informed you, an Indiana Superior Court...
May 23, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 29-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 29-89 RE: STATE SURVEY CONCERNING SERIES 65 EXAMINATION REQUIREMENT __________________________________________________________ The Institute has received a copy of a survey conducted by the...
May 22, 1989 TO: DIRECT MARKETING COMMITTEE NO. 21-89 MARKETING COMMITTEE NO. 14-89 OPERATIONS COMMITTEE NO. 8-89 PUBLIC INFORMATION COMMITTEE NO. 17-89 RESEARCH COMMITTEE NO. 15-89 SALES FORCE MARKETING COMMITTEE NO. 20-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 16-89 SMALL FUNDS...
May 22, 1989 TO: SEC RULES MEMBERS NO. 27-89 CLOSED-END FUND MEMBERS NO. 23-89 UNIT INVESTMENT TRUST MEMBERS NO. 28-89 RE: SEC INTERPRETIVE RELEASE ON MANAGEMENT'S DISCUSSION AND ANALYSIS AND INVESTMENT COMPANY DISCLOSURE __________________________________________________________ The...
May 19, 1989 TO: SMALL FUNDS COMMITTEE NO. 5-89 RE: CALIFORNIA EXPENSE LIMITATION COMMENT LETTER __________________________________________________________ As you know, the California Department of Corporations recently proposed to amend the expense limitation rule imposed on mutual...
May 19, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 17-89 RE: INVESTMENT COMPANY INSTITUTE SURVEY OF SHAREHOLDER SERVICES AND SERVICING (QUALITY OF SERVICE STUDY - STAGE I) __________________________________________________________ The explosive growth of the shareholder base over the last...
May 19, 1989 TO: TAX COMMITTEE NO. 8-89 OPTIONS AND FUTURES TASK FORCE NO. 4-89 RE: JUNE 1 MEETING ON SECTION 851(b)(4) ISSUES __________________________________________________________ The Internal Revenue Service is presently reconsidering a variety of section 851(b)(4) issues...
May 18, 1989 TO: STATE LIAISON COMMITTEE NO. 9-89 RE: CALIFORNIA EXPENSE LIMITATION COMMENT LETTER __________________________________________________________ As you know, the California Department of Corporations recently proposed to amend the expense limitation rule imposed on mutual...
