April 17, 1989 TO: TRANSFER AGENT SHAREHOLDER ACCOUNTING ADVISORY COMMITTEE NO. 8-89 RE: AGENDA FOR APRIL 24 MEETING __________________________________________________________ Attached is the agenda for the April 24, 1989 Transfer Agent Shareholder Accounting Advisory Committee...
April 14, 1989 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 17-89 CLOSED-END FUND COMMITTEE NO. 10-89 SEC RULES COMMITTEE NO. 21-89 UNIT INVESTMENT TRUST COMMITTEE NO. 17-89 RE: SEC PROPOSAL TO CONFORM CERTAIN RULES AND FORMS TO RECENTLY ADOPTED FASB STANDARDS _____________________________...
April 14, 1989 TO: CONTRACTUAL PLANS COMMITTEE NO. 2-89 RE: NOTICE OF MEETING - MAY 24, 1989 __________________________________________________________ This is to advise you that there will be a Contractual Plans Committee meeting in the Washington Board Room at the Grand Hyatt...
April 14, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 9-89 OPERATIONS MEMBERS NO. 13-89 SEC RULES MEMBERS NO. 21-89 TAX MEMBERS NO. 12-89 ACCOUNTING/TREASURERS COMMITTEE NO. 16-89 RE: PORTFOLIO COMPLIANCE WORKSHOPS - SECOND NOTICE __________________________________________________________...
April 14, 1989 TO: SMALL FUNDS MEMBERS NO. 2-89 RE: COMMITTEE MEETING - MAY 24, 1989 __________________________________________________________ This is to inform you that a Small Funds* Committee Meeting has been scheduled for Wednesday, May 24, 1989 from 9:30 a.m. until 12:30 p.m. in...
April 14, 1989 TO: BOARD OF GOVERNORS NO. 24-89 STATE SECURITIES MEMBERS NO. 12-89 UNIT INVESTMENT TRUST MEMBERS NO. 21-89 RE: NEW MEXICO ADOPTS BLUE CHIP EXEMPTION __________________________________________________________ Currently, all mutual funds and unit trusts that offer their...
April 14, 1989 TO: STATE SECURITIES MEMBERS NO. 13-89 RE: CORRECTION TO BLUE CHIP EXEMPTIONS IN SOUTH DAKOTA __________________________________________________________ As you know, last year South Dakota adopted the blue chip exemption for use by qualified mutual funds. (See...
April 13, 1989 TO: TRANSFER AGENT SHAREHOLDER ACCOUNTING ADVISORY COMMITTEE NO. 7-89 RE: NOTICE OF MEETING - APRIL 24, 1989 __________________________________________________________ This is to advise you that there will be a meeting of the Transfer Agent Shareholder Accounting...
April 13, 1989 TO: DIRECT MARKETING COMMITTEE NO. 12-89 PUBLIC INFORMATION COMMITTEE NO. 11-89 SALES FORCE MARKETING COMMITTEE NO. 13-89 RE: Television Usage of the Institute's 3-part Video News Release __________________________________________________________ Last spring we produced...
April 12, 1989 TO: STATE LIAISON COMMITTEE NO. 3-89 RE: TENNESSEE PROPOSES TO REPEAL INVESTMENT RESTRICTIONS AND STREAMLINE RENEWALS __________________________________________________________ The Institute has been working with the Tennessee Division of Securities for several months...
April 12, 1989 TO: STATE SECURITIES MEMBERS NO. 11-89 RE: NEBRASKA SALES REPORT FORM __________________________________________________________ As you may remember, effective August 1, 1988, Nebraska adopted a provision that allows indefinite registration of mutual fund shares. (See...
April 12, 1989 TO: SALES FORCE MARKETING COMMITTEE NO. 12-89 RE: Agenda for Meeting on April 27, 1989 __________________________________________________________ Attached is a preliminary agenda for the Sales Force Marketing Committee meeting to be held at the University Club, 1135...
April 11, 1989 TO: PUBLIC INFORMATION COMMITTEE NO. 10-89 RE: Agenda For Upcoming Meeting on April 26, 1989 __________________________________________________________ Attached is a copy of the agenda for the upcoming Public Information Committee meeting to be held at the University...
April 11, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 17-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING MARCH, 1989 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending March, 1989. We will continue to...
- 1 - April 10, 1989 TO: TAX COMMITTEE NO. 4-89 ACCOUNTING/TREASURERS COMMITTEE NO. 15-89 RE: INSTITUTE COMMENTS ON SECTION 851(g) DESIGNATED HEDGES __________________________________________________________ As you know, section 851(g) was added to the Code by the Conference Report to...
April 7, 1989 TO: CLOSED-END FUND MEMBERS NO. 17-89 RE: MEETING WITH STAFF ON ISSUER TENDER OFFERS _________________________________________________________ We previously distributed to you a copy of a letter received by the Institute from the staff of the Securities and Exchange...
April 7, 1989 TO: BOARD OF GOVERNORS NO. 23-89 SEC RULES MEMBERS NO. 20-89 12b-1 AD HOC COMMITTEE RE: NASD NOTICE REGARDING MISUSE OF NO-LOAD TERMINOLOGY __________________________________________________________ The attached Notice to NASD members states that the NASD has received a...
April 7, 1989 TO: SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 9-89 RE: Agenda for Next Meeting; Minutes of Last Meeting __________________________________________________________ Enclosed, along with the minutes of the Winter 1989 meeting, is a preliminary agenda for the upcoming Spring...
April 6, 1989 TO: BOARD OF GOVERNORS NO. 22-89 MARKETING COMMITTEE NO. 7-89 DIRECT MARKETING COMMITTEE NO. 11-89 SALES FORCE MARKETING COMMITTEE NO. 11-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 8-89 PUBLIC INFORMATION COMMITTEE NO. 9-89 RESEARCH COMMITTEE NO. 8-89 SMALL FUNDS...
April 6, 1989 TO: STATE SECURITIES MEMBERS NO. 10-89 UNIT INVESTMENT TRUST MEMBERS NO. 20-89 RE: MICHIGAN'S FORM FOR CLAIMING THE BLUE CHIP EXEMPTION __________________________________________________________ At the request of the Michigan Securities Bureau we are again sending the...
April 6, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 16-89 RE: PLAN OF ACTION TO OBTAIN AND DEFEND STATE EXEMPTIONS FOR RESALE OF UNITS __________________________________________________________ At the meeting on March 21, 1989, the Unit Investment Trust Committee discussed problems...
April 6, 1989 TO: CLOSED-END FUND COMMITTEE NO. 9-89 RE: DRAFT AGENDA FOR CLOSED-END FUND COMMITTEE MEETING __________________________________________________________ Attached is the draft agenda for the Closed-End Fund Committee meeting scheduled for Wednesday, April 19, 1989, at 10...
April 5, 1989 TO: TAX COMMITTEE NO. 3-89 PENSION COMMITTEE NO. 2-89 RE: AGENDAS FOR THE TAX AND PENSION COMMITTEE MEETINGS - APRIL 13, 1989 __________________________________________________________ Attached are copies for both the Tax and Pension Committee meetings on Thursday, April...
April 5, 1989 TO: SEC RULES COMMITTEE NO. 20-89 RE: SEC RULES COMMITTEE MEETING AGENDA __________________________________________________________ Attached is the tentative agenda for the SEC Rules Committee meeting on Wednesday, April 12 at 10:00 a.m. at the Vista Hotel. We look...
