May 18, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 23-89 RE: FUTURE OF THE MANUAL EXEMPTION __________________________________________________________ As you know, the manual exemption has come under increasing attack because many states believe that securities that could not...
May 18, 1989 TO: DIRECT MARKETING COMMITTEE NO. 20-89 RE: MINUTES OF LAST MEETING __________________________________________________________ Attached are the minutes of the last meeting of the Direct Marketing Committee, which was held on April 27, 1989 in Washington, DC. Also...
May 18, 1989 TO: STATE SECURITIES MEMBERS NO. 18-89 UNIT INVESTMENT TRUST MEMBERS NO. 27-89 RE: NEW MEXICO FORM TO CLAIM BLUE CHIP EXEMPTION __________________________________________________________ As you know, New Mexico recently adopted an exemption from registration for qualified...
May 17, 1989 TO: SEC RULES COMMITTEE NO. 25-89 CLOSED-END FUND COMMITTEE NO. 16-89 INVESTMENT ADVISERS COMMITTEE NO. 22-89 UNIT INVESTMENT TRUST COMMITTEE NO. 22-89 RE: INSTITUTE COMMENT LETTER ON PROPOSED RULE CHANGES UNDER SECTION 13(D) OF THE SECURITIES EXCHANGE ACT _______________...
May 17, 1989 TO: BOARD OF GOVERNORS NO. 33-89 MEMBERS - ONE PER COMPLEX NO. 16-89 DIRECT MARKETING COMMITTEE NO. 19-89 MARKETING COMMITTEE NO. 13-89 PUBLIC INFORMATION COMMITTEE NO. 16-89 RESEARCH COMMITTEE NO. 14-89 SALES FORCE MARKETING COMMITTEE NO. 19-89 SHAREHOLDER COMMUNICATIONS...
May 16, 1989 TO: MARKETING COMMITTEE NO. 12-89 DIRECT MARKETING COMMITTEE NO. 18-89 SALES FORCE MARKETING COMMITTEE NO. 18-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 14-89 PUBLIC INFORMATION COMMITTEE NO. 15-89 RESEARCH COMMITTEE NO. 13-89 SMALL FUNDS COMMITTEE NO. 4-89 MEMBERS...
May 16, 1989 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 28-89 BROKER-DEALER ASSOCIATE MEMBER NO. 1-89 RE: New Associate Member List __________________________________________________________ Enclosed is an updated list of the Institute's associate membership. This list supersedes...
May 16, 1989 TO: STATE LIAISON COMMITTEE NO. 8-89 RE: MEETING WITH NASAA'S REGULATED INDUSTRIES COORDINATION COMMITTEE __________________________________________________________ On April 6, 1989, staff members of the Institute and Lee Augsberger, Van Kampen Merritt, a member of the...
May 16, 1989 TO: CLOSED-END FUND MEMBERS NO. 22-89 RE: Updated Closed-End Fund List __________________________________________________________ Enclosed is an updated version of the closed-end fund list. This May 1989 edition contains assets for the funds as of year- end 1988. This...
May 17, 1989 TO: BOARD OF GOVERNORS NO. 32-89 MEMBERS - ONE PER COMPLEX NO. 15-89 ICI MUTUAL MEMBERS NO. 5-89 ICI MUTUAL BOARD OF DIRECTORS NO. 3-89 RE: ICI MUTUAL NEWSLETTER __________________________________________________________ Enclosed is the inaugural copy of the ICI Mutual...
May 15, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 21-89 NORTH CAROLINA MEMBERS NORTH CAROLINA ASSOCIATE MEMBERS RE: NORTH CAROLINA PROPOSED LEGISLATION ESTABLISHING INVESTOR SECURITY FUND __________________________________________________________ The purpose of this memorandum is to...
May 15, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 24-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of April 28, 1989...
May 12, 1989 TO: PUBLIC INFORMATION COMMITTEE NO. 14-89 RE: News Media at GMM __________________________________________________________ Attached is a list of news media representatives who have requested credentials to cover the General Membership Meeting, to be held here in...
May 11, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 28-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 27-89 RE: IDAHO EXCLUDES CPAs FROM INVESTMENT ADVISER LAW __________________________________________________________ On March 29, 1989, Idaho Governor Cecil Andrus signed Idaho House Bill No...
- 1 - May 10, 1989 TO: TAX COMMITTEE NO. 6-89 ACCOUNTING/TREASURERS COMMITTEE NO. 20-89 CLOSED-END FUND COMMITTEE NO. 15-89 RE: INSTITUTE STATEMENT ON CAPITAL GAIN PROPOSALS __________________________________________________________ Attached is the Institute's statement to the House...
May 10, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 23-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING APRIL, 1989 __________________________________________________________ Attached is a copy of the FUND/Serv Status Report for the month ending April, 1989. We will continue to send...
May 9, 1989 TO: CLOSED-END FUND MEMBERS NO. 21-89 OPERATIONS MEMBERS NO. 17-89 SEC RULES MEMBERS NO. 26-89 UNIT INVESTMENT TRUST MEMBERS NO. 26-89 ACCOUNTING/TREASURERS MEMBERS NO. 3-89 AD HOC COMMITTEE ON UNCLAIMED PROPERTY RE: LOCATING LOST SHAREHOLDERS _____________________________...
May 9, 1989 TO: STATE LIAISON COMMITTEE NO. 7-89 RE: UNIFORM NOTICE OF INTENTION TO SELL SECURITIES __________________________________________________________ We have revised the attached form entitled "Uniform Notice of Intention to Sell Securities" as we agreed upon at our State...
May 9, 1989 TO: BOARD OF GOVERNORS NO. 31-89 MEMBERS - ONE PER COMPLEX NO. 14-89 DIRECT MARKETING COMMITTEE NO. 17-89 MARKETING COMMITTEE NO. 11-89 PUBLIC INFORMATION COMMITTEE NO. 13-89 RESEARCH COMMITTEE NO. 12-89 SALES FORCE MARKETING COMMITTEE NO. 17-89 SHAREHOLDER COMMUNICATIONS...
May 9, 1989 TO: SEC RULES COMMITTEE NO. 24-89 STATE LIAISON COMMITTEE NO. 6-89 RE: Proposed Illinois Broker-Dealer Legislation __________________________________________________________ Attached is a copy of a bill that has been introduced in the Illinois House of Representatives. The...
May 8, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 21-89 RE: FUND/SERV EXTENDED CORRECTION PROCESSING BUSINESS PLAN __________________________________________________________ As a result of the April 27-28, 1989 Broker/Dealer Advisory Committee meeting, NSCC has re-issued the...
May 8, 1989 TO: SEC RULES COMMITTEE NO. 23-89 CLOSED-END FUND COMMITTEE NO. 14-89 RE: INSTITUTE COMMENT LETTER CONCERNING PROPOSED RULE 32a-3 __________________________________________________________ As you know, the SEC proposed in March 1989 a new rule 32a- 3, which would expand...
May 5, 1989 TO: STATE SECURITIES MEMBERS NO. 17-89 BLUE SKY GUIDE RECIPIENTS RE: REGISTRATION OF SECURITIES IN MARYLAND __________________________________________________________ At the request of the Maryland Division of Securities, we are sending this memorandum to remind you that...
May 4, 1989 TO: BOARD OF GOVERNORS NO. 29-89 RE: PROPOSED MINUTES OF JANUARY 25-26, 1989 __________________________________________________________ Attached hereto is a copy of the minutes of January 25-26, 1989 which are proposed to be presented to the Board of Governors at its next...
May 4, 1989 TO: SEC RULES MEMBERS NO. 25-89 STATE SECURITIES MEMBERS NO. 16-89 CLOSED-END FUND MEMBERS NO. 20-89 UNIT INVESTMENT TRUST MEMBERS NO. 25-89 RE: ISSUERS IN CALIFORNIA REQUIRED TO INCLUDE PROSPECTUS DISCLOSURE ON DOING BUSINESS IN SOUTH AFRICA ______________________________...
