Memo #
3063
MEETING SCHEDULED TO DISCUSS NASAA INVESTMENT COMPANY REGISTRATION/TRADING PRACTICES COMMITTEE REPORT
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August 30, 1991
TO: CONTRACTUAL PLANS COMMITTEE NO. 10-91
RE: MEETING SCHEDULED TO DISCUSS NASAA INVESTMENT COMPANY
REGISTRATION/TRADING PRACTICES COMMITTEE REPORT
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As we previously informed you, the NASAA Investment Company
Registration/Trading Practices Committee has submitted its report
regarding its recommendations with respect to state regulation of
contractual plans to the NASAA Board of Directors. (See
Memorandum to Contractual Plans Committee No. 9-91, dated August
16, 1991.) The report is now being circulated to NASAA members
for comment; thereafter, the NASAA Board will authorize the
report to be published for public comment.
The Institute has unofficially been advised of the
recommendations contained in the report. We have scheduled a
meeting for Tuesday, September 10, 1991, 10:00 a.m. at the
Institute to discuss each of the recommendations and what our
response will be when the report becomes available for public
comment. Please contact Michael Branch at (202) 955-3524 if you
are able to attend this very important meeting by Friday,
September 6, 1991.
Patricia Louie
Assistant General Counsel