February 10, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 9-89 RE: 1. REMINDER NOTICE OF BROKER/DEALER ADVISORY COMMITTEE MEETINGS - FEBRUARY 28 & MARCH 1, 1989 2. DINNER - FEBRUARY 28, 1989 __________________________________________________________ This is to remind you that a two...
February 10, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 3-89 CLOSED-END FUND MEMBERS NO. 8-89 INVESTMENT ADVISER MEMBERS NO. 10-89 SEC RULES MEMBERS NO. 9-89 UNIT INVESTMENT TRUST MEMBERS NO. 12-89 RE: SUMMARY OF SEC NO-ACTION AND INTERPRETIVE LETTERS - SERIES 44 _________________________...
February 10, 1989 TO: SEC RULES MEMBERS NO. 10-89 UNIT INVESTMENT TRUST MEMBERS NO. 13-89 CLOSED-END FUND MEMBERS NO. 9-89 RE: SEC NO ACTION LETTER REGARDING STRIPPED COUPON MUNICIPAL SECURITIES __________________________________________________________ The Municipal Securities...
- 1 - February 10, 1989 TO: SEC RULES MEMBERS NO. 11-89 OPTIONS AND FUTURES TASK FORCE NO. 1-89 RE: SEC AND CFTC RELEASES REGARDING DISCLOSURE BY ISSUERS AND OPERATORS OF COMMODITY POOLS __________________________________________________________ The SEC and CFTC have issued...
February 9, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 10-89 RE: INSTITUTE COMMENTS ON PROPOSED NEW JERSEY PERFORMANCE FEE RULE __________________________________________________________ On February 1, 1989, the Institute submitted a comment letter to the New Jersey Securities...
February 9, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 8-89 RE: INSTITUTE SUBMITS COMMENT LETTER TO IDAHO CONCERNING PROPOSED INVESTMENT ADVISER DEFINITION __________________________________________________________ In the attached letter, the Institute comments on the proposed...
February 9, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 8-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of January 31...
February 14, 1989 TO: PUBLIC INFORMATION COMMITTEE NO. 1-89 RE: Minutes of Meeting Held January 19 __________________________________________________________ Attached are the minutes of the meeting of the Public Information Committee held on January 19, 1989 in San Francisco. The next...
February 9, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 9-89 RE: INSTITUTE TESTIFIES IN MARYLAND CONCERNING PROPOSED INVESTMENT ADVISER LEGISLATION __________________________________________________________ On February 8, 1989, the Institute testified before the Maryland House Economic...
February 9, 1989 T O: INVESTMENT ADVISER MEMBERS NO. 9-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 9-89 R E: SERIES 65 LAW EXAMINATION APPLICANTS MUST FILE REQUESTS ON FORM U-10 __________________________________________________________ As you will recall, the North American...
- 1 - February 8, 1989 TO: PENSION MEMBERS NO. 7-89 RE: IRS TO BEGIN REVIEW OF MASTER AND PROTOTYPE PLAN AMENDMENTS __________________________________________________________ Attached is a copy of Revenue Procedure 89-9, which describes the procedures for IRS issuance of opinion...
February 7, 1989 TO: STATE SECURITIES MEMBERS NO. 6-89 BLUE SKY GUIDE RECIPIENTS RE: REMINDER - 1989 BLUE SKY COMPLIANCE WORKSHOPS __________________________________________________________ As you know, the Institute is holding a series of workshops on Blue Sky Compliance for members...
February 7, 1989 TO: SEC RULES MEMBERS NO. 8-89 RE: 17j-1 CODES OF ETHICS FOR FUNDS THAT INVEST IN EXEMPT SECURITIES __________________________________________________________ Attached is a copy of the response of the Division of Investment Management to a request for interpretive...
February 6, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 7-89 SEC RULES COMMITTEE NO. 11-89 UNIT INVESTMENT TRUST COMMITTEE NO. 6-89 RE: NASD PROPOSAL TO RESTRICT PAYMENT OF REFERRAL FEES __________________________________________________________ As we previously informed you, the NASD...
February 6, 1989 TO: SEC RULES COMMITTEE NO. 12-89 RE: SEC PROPOSES CHANGES TO THE OWNERSHIP REPORTING REQUIREMENTS UNDER SECTION 16 OF THE SECURITIES EXCHANGE ACT OF 1934 __________________________________________________________ Section 16(a) of the Securities Exchange Act of 1934...
February 6, 1989 TO: CLOSED-END FUND COMMITTEE NO. 3-89 SEC RULES COMMITTEE NO. 10-89 UNIT INVESTMENT TRUST COMMITTEE NO. 5-89 ACCOUNTING/TREASURERS COMMITTEE NO. 9-89 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: FASB AGREES ON LANGUAGE OF FINAL STATEMENT AMENDING SFAS NO. 95 __________...
February 6, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 7-89 RE: NETWORKING PACKAGE #16 __________________________________________________________ Attached is Networking Package #16 from Steve Tunney of the National Securities Clearing Corporation. We will continue to distribute...
February 6, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 2-89 SEC RULES MEMBERS NO. 7-89 INVESTMENT ADVISER MEMBERS NO. 8-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 8-89 CLOSED-END FUND MEMBERS NO. 7-89 RE: DRAFTING GUIDE FOR POLICY AND PROCEDURES DESIGNED TO DETECT AND PREVENT INSIDER...
February 3, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 6-89 RE: COMMENT LETTERS CONCERNING SEC PROPOSAL TO EXEMPT CERTAIN SMALL INVESTMENT ADVISERS __________________________________________________________ As you recall, the SEC has proposed two rules that would expand the...
February 3, 1989 TO: DIRECT MARKETING COMMITTEE NO. 3-89 RE: Minutes of Meeting Held January 19 __________________________________________________________ Attached are the minutes of the meeting of the Direct Marketing Committee on January 19, 1989 in San Francisco. Our next meeting...
February 2, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 4-89 RE: INSTITUTE COMMENTS ON GEORGIA PROPOSED INVESTMENT ADVISER RULES __________________________________________________________ As you know, the Institute has been actively involved in the development of the Georgia rules...
February 2, 1989 TO: PENSION MEMBERS NO. 6-89 INVESTMENT ADVISER MEMBERS NO. 6-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 6-89 RE: JOINT STATEMENT OF LABOR AND TREASURY DEPARTMENTS ON PLAN INVESTMENTS SUBJECT TO TENDER OFFERS AND MERGER PROPOSALS _____________________________________...
February 2, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 7-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 7-89 RE: SEC SANCTIONS ADVISER FOR VIOLATIONS OF PERFORMANCE ADVERTISING RULES __________________________________________________________ On December 27, 1988, the Securities and Exchange...
