March 22, 1989 TO: CLOSED-END FUND COMMITTEE NO. 7-89 RE: PSE PERMITS SECOND TIER FEE SCHEDULE FOR CLOSED-END FUND FAMILIES __________________________________________________________ The Pacific Stock Exchange filed a proposed rule change with the Securities and Exchange Commission...
March 22, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 16-89 RE: TENNESSEE PROPOSES INVESTMENT ADVISER REGULATIONS __________________________________________________________ The Division of Securities of the Tennessee Department of Commerce and Insurance has proposed the attached...
March 21, 1989 TO: SEC RULES COMMITTEE NO. 17-89 CLOSED-END FUND COMMITTEE NO. 6-89 INVESTMENT ADVISERS COMMITTEE NO. 14-89 RE: SEC PROPOSES RULE CHANGES CONCERNING DISCLOSURE OF OWNERSHIP IN PUBLIC COMPANIES __________________________________________________________ The SEC has...
March 21, 1989 TO: SEC RULES MEMBERS NO. 19-89 RE: SEC DENIES NO-ACTION REQUEST OF BANK COMMON TRUST FUND THAT RECEIVES MONIES FROM OTHER COMMON TRUST FUNDS __________________________________________________________ The Division of Investment Management has denied a no- action request...
March 21, 1989 TO: STATE LIAISON COMMITTEE NO. 2-89 RE: NOTICE OF STATE LIAISON COMMITTEE MEETING, APRIL 27, 1989 __________________________________________________________ A meeting of the State Liaison Committee has been scheduled for 12 noon on Thursday, April 27, 1989. This...
March 20, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 14-89 RE: 1. ACAT-FUND/SERV INTERFACE BUSINESS PLAN 2. FUND/SERV EXTENDED CORRECTION PROCESSING __________________________________________________________ 1. Attached please find the NSCC Business Plan for the ACATS- Fund/SERV...
March 20, 1989 TO: PENSION MEMBERS NO. 18-89 RE: 1989 IRS FORM W-2P __________________________________________________________ Attached is a copy of the 1989 IRS Form W-2P, Statement for Recipients of Annuities, Pensions, Retired Pay, or IRA Payments. The major change to the form...
March 20, 1989 TO: OPERATIONS MEMBERS NO. 12-89 PENSION MEMBERS NO. 19-89 TAX MEMBERS NO. 11-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 6-89 RE: 1989 INSTRUCTIONS FOR IRS FORMS 1099, 1098, 5498, 1096, AND W-2G __________________________________________________________...
March 20, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 13-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT FUND/SERV PARTICIPANTS __________________________________________________________ Attached is a copy of the Registration Status Report as of...
- 1 - March 20, 1989 TO: PENSION MEMBERS NO. 17-89 INVESTMENT ADVISER MEMBERS NO. 24-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 23-89 RE: DEPARTMENT OF LABOR LETTER CONCERNING TENDER OFFERS INVOLVING PLAN INVESTMENTS HELD IN INDIVIDUALLY DIRECTED ACCOUNTS ____________________________...
March 17, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 23-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 22-89 RE: GEORGIA REQUIRES REGISTRATION OF INVESTMENT ADVISERS __________________________________________________________ We have just received the attached Commissioner's Release No. 59...
March 17, 1989 TO: CLOSED-END FUND COMMITTEE NO. 5-89 RE: NOTICE OF CLOSED-END FUND COMMITTEE MEETING, APRIL 19, 1989 __________________________________________________________ A meeting of the Closed-End Fund Committee has been scheduled for 10:00 a.m. on Wednesday, April 19, 1989...
March 20, 1989 TO: BOARD OF GOVERNORS NO. 17-89 FEDERAL LEGISLATION MEMBERS NO. 5-89 FEDERAL LEGISLATION COMMITTEE NO. 4-89 RE: SEC'S "INTERNATIONAL SECURITIES ENFORCEMENT COOPERATION ACT OF 1989" INTRODUCED IN HOUSE OF REPRESENTATIVES _________________________________________________...
March 16, 1989 TO: SEC RULES COMMITTEE NO. 16-89 RE: NOTICE OF SEC RULES COMMITTEE MEETING, APRIL 12, 1989 __________________________________________________________ A meeting of the SEC Rules Committee has been scheduled for 10:00 a.m. on Wednesday, April 12, 1989. This meeting will...
March 16, 1989 TO: TAX COMMITTEE NO. 2-89 PENSION COMMITTEE NO. 1-89 RE: NOTICE OF MEETINGS, THURSDAY, APRIL 13, 1989 __________________________________________________________ The Tax and Pension Committee meetings have been scheduled for Thursday, April 13, 1989 at 10:00 a.m. and 1...
March 16, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 13-89 RE: NOTICE OF MEETING, WEDNESDAY, APRIL 12, 1989 __________________________________________________________ A meeting of your committee has been scheduled for Wednesday, April 12, 1989 at 1:30 p.m. following a joint luncheon...
March 15, 1989 TO: SEC RULES MEMBERS NO. 18-89 CLOSED-END FUND MEMBERS NO. 16-89 INVESTMENT ADVISER MEMBERS NO. 22-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 21-89 RE: INSTITUTE COMMENTS ON SEC PROPOSED AMENDMENTS TO SECTION 16 RULES __________________________________________________...
- 1 - March 15, 1989 TO: PENSION MEMBERS NO. 16-89 RE: IRS REVISES PUBLICATION CONCERNING SECTION 403(b) ARRANGEMENTS __________________________________________________________ Attached is a copy of the December 1988 revision of IRS Publication 571, Tax-Sheltered Annuity Programs for...
March 14, 1989 TO: DIRECT MARKETING COMMITTEE NO. 9-89 PUBLIC INFORMATION COMMITTEE NO. 7-89 SALES FORCE MARKETING COMMITTEE NO. 9-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 7-89 RE: Committee Meeting Schedule __________________________________________________________ The next...
- 1 - March 14, 1989 TO: TAX MEMBERS NO. 9-89 RE: FINAL REGULATIONS PRESCRIBING DIVERSIFICATION REQUIREMENTS FOR VARIABLE ANNUITY CONTRACTS __________________________________________________________ The attached IRS final regulations prescribe diversification requirements for variable...
March 14, 1989 TO: PENSION MEMBERS NO. 15-89 RE: IRS NOTICE CONCERNING CORRECTIVE DISTRIBUTIONS UNDER TAMRA __________________________________________________________ As you know, the Technical and Miscellaneous Revenue Act of 1988 (TAMRA) retroactively amended section 402(g)(2) of...
March 14, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 7-89 OPERATIONS MEMBERS NO. 11-89 SEC RULES MEMBERS NO. 17-89 TAX MEMBERS NO. 10-89 ACCOUNTING/TREASURERS COMMITTEE NO. 12-89 RE: PORTFOLIO COMPLIANCE WORKSHOPS __________________________________________________________ The Institute is...
March 13, 1989 TO: SALES FORCE MARKETING COMMITTEE NO. 8-89 RE: Minutes of January 19, 1989 Meeting __________________________________________________________ Enclosed for your review are the minutes of the January 19 committee meeting in San Francisco. Within the next few weeks we...
March 10, 1989 TO: PUBLIC INFORMATION COMMITTEE NO. 6-89 RESEARCH COMMITTEE NO. 6-89 MARKETING COMMITTEE NO. 6-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 6-89 MEMBERS - ONE PER COMPLEX NO. 6-89 DIRECT MARKETING COMMITTEE NO. 8-89 SALES FORCE MARKETING COMMITTEE NO. 7-89 RE: RESEARCH...
March 10, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 12-89 RE: PROPOSED MASSACHUSETTS RULE AMENDS MANUAL EXEMPTION __________________________________________________________ Attached is a copy of a proposed rule that defines "non- issuer transaction or distribution" and also...
