- 1 - June 5, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 18-90 RE: INVESTMENT ADVISER GUIDELINES FOR FIDUCIARIES MEETING __________________________________________________________ As you recall, the United States Court of Appeals for the Eleventh Circuit recently found a retirement...

June 5, 1990 TO: PENSION MEMBERS NO. 27-90 RE: 457 PLAN PASS-THROUGH INSURANCE PROPOSED __________________________________________________________ As you recall, the Federal Deposit Insurance Corporation ("FDIC") recently approved final regulations which would insure deposits of plans...

June 4, 1990 TO: BOARD OF GOVERNORS NO. 39-90 SEC RULES MEMBERS NO. 40-90 RULE 12b-1 AD HOC COMMITTEE RE: INSTITUTE COMMENT LETTER ON NASD 12b-1 PROPOSAL ________________________________________________________ In response to the recent proposal by the NASD to extend its sales load...

June 4, 1990 TO: MEMBERS - ONE PER COMPLEX NO. 21-90 RE: PUBLIC SECURITIES ASSOCIATION MODIFIES GUIDELINES RELATING TO CERTAIN HIGH COUPON GNMA SECURITIES ________________________________________________________ The Public Securities Association ("PSA"), a trade association whose...

June 4, 1990 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 25-90 RE: INSTITUTE DRAFT RESPONSE TO STAFF MEMO ON YIELD PROPOSAL __________________________________________________________ As we previously informed you, the SEC Division of Investment Management has sent a memorandum to the...

June 1, 1990 TO: PENSION MEMBERS NO. 26-90 RE: COMPUTER GENERATED FORMS 5300, 5307, AND 8717 __________________________________________________________ Attached is IRS Notice 90-38 regarding computer generated Form 5300, Application for Determination of Employee Benefit Plan, Form...

May 31, 1990 TO: BOARD OF GOVERNORS NO. 38-90 SEC RULES COMMITTEE NO. 31-90 1990s REGULATORY TASK FORCE RE: JUNE 21 MEETING OF THE 1990s REGULATORY TASK FORCE __________________________________________________________ As you know, part of the Institute's study of the industry in the...

May 31, 1990 TO: MEMBERS - ONE PER COMPLEX NO. 20-90 CLOSED-END FUND MEMBERS NO. 20-90 INVESTMENT ADVISER MEMBERS NO. 23-90 SEC RULES MEMBERS NO. 39-90 UNIT INVESTMENT TRUST MEMBERS NO. 32-90 RE: SUMMARY OF SEC NO-ACTION INTERPRETIVE LETTERS - SERIES 48 _______________________________...

May 30, 1990 TO: PUBLIC INFORMATION COMMITTEE NO. 17-90 RE: Press Coverage of "The Environment for the Investment Company Industry in the 1990s" __________________________________________________________ As you know, Jonathan Clements (WSJ) and Carole Gould (NYT) recently wrote...

May 30, 1990 TO: RESEARCH COMMITTEE NO. 11-90 RE: COMMITTEE MEETING AGENDA AND PAPERS @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ The Research Committee will meet at the Madison Hotel, 15th and M Street, on Wednesday June 6, 1990, beginning at 9:30 a.m. We expect...