May 29, 1990 TO: INSURANCE COMPANY-DTC-FUND/SERV ADVISORY COMMITTEE NO. 5-90 RE: AGENDA FOR MEETING - JUNE 11, 1990 __________________________________________________________ Attached is the agenda for the Insurance Company-DTC- FUND/SERV Advisory Committee meeting which is being held...

May 29, 1990 TO: STATE SECURITIES MEMBERS NO. 15-90 UNIT INVESTMENT TRUST MEMBERS NO. 30-90 BLUE SKY GUIDE RECIPIENTS RE: FORM FOR CLAIMING BLUE CHIP EXEMPTION IN UTAH __________________________________________________________ As we previously informed you, effective July 1, 1990...

May 29, 1990 TO: CLOSED-END FUND MEMBERS NO. 19-90 INVESTMENT ADVISER MEMBERS NO. 22-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 21-90 SEC RULES MEMBERS NO. 38-90 UNIT INVESTMENT TRUST MEMBERS NO. 31-90 INTERNATIONAL FUNDS TASK FORCE NO. 11-90 RE: CONFERENCE ON RULE 144A _____________...

May 24, 1990 TO: UNIT INVESTMENT TRUST MEMBERS NO. 29-90 RE: INSTITUTE COMMENT LETTER ON PROPOSED VIRGINIA REFUND RULE __________________________________________________________ The Virginia Corporations Commission recently proposed an administrative rule that provides for the refund...

May 23, 1990 TO: SEC RULES COMMITTEE NO. 30-90 INVESTMENT ADVISERS COMMITTEE NO. 17-90 RE: GINNIE MAE TO PROHIBIT "LIVE FREE" MORTGAGES __________________________________________________________ According to the attached Wall Street Journal article, the Government National Mortgage...

May 23, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 16-90 RE: NASAA COMMITTEE TO REVIEW COMMENTS ON SERIES 65 EXAM __________________________________________________________ I have been advised by Michael Chizmar, Chair of the NASAA Uniform Examinations Committee, that next month his...

May 22, 1990 TO: INVESTMENT ADVISER MEMBERS NO. 21-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 20-90 RE: INVESTMENT ADVISER REGISTRATION IN MARYLAND POSTPONED UNTIL OCTOBER __________________________________________________________ The Maryland Division of Securities has confirmed...

May 22, 1990 TO: INVESTMENT ADVISER MEMBERS NO. 20-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 19-90 RE: REMINDER CONCERNING INVESTMENT ADVISER PERFORMANCE DATA __________________________________________________________ As we previously informed you, the Division of Investment...

May 21, 1990 TO: INVESTMENT ADVISER MEMBERS NO. 19-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 18-90 RE: COURT FINDS INVESTMENT ADVISOR A FIDUCIARY SUBJECT TO RULE 10b-5 AND RICO __________________________________________________________ Attached is a copy of a recent case in which...

May 18, 1990 TO: TRANSFER AGENT ADVISORY COMMITTEE NO. 13-90 RE: NOTICE OF MEETING - JUNE 19, 1990 __________________________________________________________ This is to advise you that there will be a meeting of the Transfer Agent Advisory Committee starting at 10:00 a.m. on Tuesday...