April 5, 1989 TO: OPERATIONS COMMITTEE NO. 6-89 RE: NOTICE OF COMMITTEE MEETING - MAY 24, 1989 __________________________________________________________ This is to inform you that the next meeting of the Operations Committee will be held on Wednesday, May 24, 1989, beginning with a...
April 4, 1989 TO: CLOSED-END FUND COMMITTEE NO. 8-89 SEC RULES COMMITTEE NO. 19-89 ACCOUNTING/TREASURERS COMMITTEE NO. 14-89 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: SEC ADOPTS INVESTMENT COMPANY ACT RULE 30b1-3 SPECIFYING FORM N-SAR FILING REQUIREMENTS FOR FUNDS THAT CHANGE THEIR...
April 3, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 15-89 RE: RESALE TRADING EXEMPTION IN SOUTH DAKOTA __________________________________________________________ The Institute has recently received a copy of an interpretive opinion issued by the South Dakota Department of Commerce...
April 3, 1989 TO: CONTRACTUAL PLANS COMMITTEE NO. 1-89 RE: 1988 CONTRACTUAL PLANS STATISTICS __________________________________________________________ As you know, each year the Institute collects contractual plans sales and redemption statistics in order that we can compile the...
April 3, 1989 TO: BOARD OF GOVERNORS NO. 21-89 FEDERAL LEGISLATION MEMBERS NO. 6-89 FEDERAL LEGISLATION COMMITTEE NO. 5-89 RE: SEC-PROPOSED LEGISLATION INTRODUCED IN CONGRESS __________________________________________________________ At the request of the SEC, legislation dealing with...
April 3, 1989 TO: BOARD OF GOVERNORS NO. 20-89 SEC RULES COMMITTEE NO. 18-89 RE: INSTITUTE SUGGESTIONS TO SEC STAFF REGARDING PENDING REGULATORY MATTERS __________________________________________________________ As you know, the Institute regularly requests SEC staff action regarding...
March 31, 1989 TO: RESEARCH COMMITTEE NO. 7-89 RE: RESEARCH COMMITTEE PLANNING MEETING __________________________________________________________ The next meeting of the Research Committee will be held Wednesday, June 14, 1989 in Washington at the ICI Board Room. The meeting will...
March 31, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 18-89 RE: INSTITUTE SUBMITS COMMENTS ON PROPOSED TENNESSEE INVESTMENT ADVISER REGULATIONS __________________________________________________________ In the attached letter, the Institute commented on several proposed Tennessee...
March 31, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 17-89 RE: INSTITUTE SUBMITS LETTER ON PROPOSED INVESTMENT ADVISER LEGISLATION IN WEST VIRGINIA __________________________________________________________ On March 28, 1989, the Institute submitted letter testimony to the Chairman of...
March 30, 1989 TO: DIRECT MARKETING COMMITTEE NO. 10-89 RE: Agenda For Upcoming Meeting on April 27, 1989 __________________________________________________________ Attached for your information is an agenda for the next meeting of the Direct Marketing Committee. The meeting will be...
March 30, 1989 TO: SALES FORCE MARKETING COMMITTEE NO. 10-89 RE: Next Committee Meeting __________________________________________________________ The next meeting of the ICI-IAFP Liaison Committee is scheduled for Thursday morning, June 29 at 10:00 a.m. in Atlanta. Will you please...
March 30, 1989 TO: UNIT INVESTMENT TRUST MEMBERS NO. 19-89 RE: ARIZONA GRANTS NO-ACTION ON EXEMPTION FOR RE-SALES __________________________________________________________ In most states, unit trusts rely on an exemption from registration under the state securities acts for resales...
March 29, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 15-89 RE: 1. APRIL 27 & 28, 1989 BROKER/DEALER ADVISORY COMMITTEE MEETING TIMES AND DETAILS ABOUT DINNER 2. MINUTES OF FEBRUARY 28-MARCH 1, 1989 BROKER/DEALER ADVISORY COMMITTEE MEETING ___________________________________________...
- 1 - March 29, 1989 TO: PENSION MEMBERS NO. 22-89 RE: IRS NOTICE CONCERNING REQUIRED BEGINNING DATE UNDER CODE SECTION 401(a)(9) __________________________________________________________ Attached is a copy of IRS Notice 89-42, which provides guidance concerning the required...
March 29, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 16-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING FEBRUARY, 1989 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending February, 1989. We will continue...
March 28, 1989 TO: PUBLIC INFORMATION COMMITTEE NO. 8-89 RE: Update on Journalism Awards Program __________________________________________________________ Just wanted to let you know how things are going on this year's Investment Company Institute-American University Journalism...
March 28, 1989 TO: BOARD OF GOVERNORS NO. 19-89 RE: REVISED NOTICE OF MEETING - WEDNESDAY, MAY 24, 1989 __________________________________________________________ A meeting of the Board of Governors has been scheduled for Wednesday, May 24, 1989, commencing at 1:00 p.m. with lunch in...
- 1 - March 27, 1989 TO: PENSION MEMBERS NO. 21-89 RE: IRS NOTICE CONCERNING TAXATION OF DISTRIBUTIONS __________________________________________________________ Attached is a copy of IRS Notice 89-25, which provides guidance concerning the taxation of distributions from qualified...
March 27, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 14-89 RE: SEC PROPOSES RULE CHANGES CONCERNING DISCLOSURE OF OWNERSHIP IN PUBLIC COMPANIES __________________________________________________________ The SEC has proposed amendments to Rules 13d-1, 13d-2 and 13d-7 and Schedules...
March 23, 1989 TO: PENSION MEMBERS NO. 20-89 RE: REVISIONS TO 5500 SERIES OF FORMS __________________________________________________________ In September 1986, the Internal Revenue Service, the Department of Labor and the Pension Benefit Guaranty Corporation proposed revisions to the...
March 23, 1989 TO: BOARD OF GOVERNORS NO. 18-89 RE: NOTICE OF MEETING - WEDNESDAY, MAY 24, 1989 __________________________________________________________ A meeting of the Board of Governors has been scheduled for Wednesday, May 24, 1989, commencing at 1:00 p.m. with lunch in the...
March 22, 1989 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 13-89 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: MEETING REMINDER AND AGENDA - MARCH 30, 1989 __________________________________________________________ This is to remind you that the Accounting/Treasurers Committee and the...
March 22, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 15-89 RE: INSTITUTE DISMISSES LAWSUIT AGAINST OKLAHOMA __________________________________________________________ As of February 24, 1989, the Institute officially dismissed its lawsuit against the Oklahoma Securities Commission...
March 22, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 25-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 24-89 RE: FLORIDA BILL TO REVISE INTANGIBLES TAX __________________________________________________________ The attached bill was recently introduced in the Florida legislature to revise...
March 22, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 13-89 RE: NOTICE OF MEETING, FRIDAY, APRIL 28, 1989 __________________________________________________________ A meeting of your committee has been scheduled for 10:00 a.m. on Friday, April 28, 1989. The meeting will be held in...
