- 1 - March 28, 1990 TO: CLOSED-END FUND MEMBERS NO. 13-90 INVESTMENT ADVISER MEMBERS NO. 10-90 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 9-90 OPERATIONS MEMBERS NO. 12-90 SEC RULES MEMBERS NO. 24-90 STATE SECURITIES MEMBERS NO. 5-90 TAX MEMBERS NO. 14-90 UNIT INVESTMENT TRUST MEMBERS...

March 28, 1990 TO: SEC RULES COMMITTEE NO. 19-90 RE: LETTER TO STAFF CONCERNING STREAMLINING OF PROSPECTUS DISCLOSURE __________________________________________________________ AT the CCH-FBA Mutual Funds Conference last week, Kathie McGrath stated that no funds have streamlined their...

March 28, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 11-90 RE: NASAA AMENDED PROPOSED REVISIONS TO MODEL INVESTMENT ADVISER RULES ________________________________________________________ As we previously informed you, the Financial Planner/Investment Adviser Committee of the North...

March 27, 1990 TO: SEC RULES COMMITTEE NO. 18-90 RE: BILL TO PROHIBIT SALES OF SECURITIES ON BANK PREMISES __________________________________________________________ Representatives Schumer and McMillen have introduced a bill that would ban offers and sales of securities issued by...

March 27, 1990 TO: STATE LIAISON COMMITTEE NO. 6-90 RE: MISSISSIPPI PROPOSES RULE CHANGE __________________________________________________________ The Mississippi Securities Division recently proposed an amendment to Rule 225 that would require payment of a $50 fee with the...

- 1 - March 27, 1990 TO: TAX MEMBERS NO. 13-90 ACCOUNTING/TREASURERS MEMBERS NO. 9-90 RE: IRS ANNOUNCEMENT ON REVISED FORM 8613, RETURN OF EXCISE TAX ON UNDISTRIBUTED RIC INCOME __________________________________________________________ The IRS has revised Form 8613, Return of Excise...

March 27, 1990 TO: PENSION COMMITTEE NO. 6-90 RE: S. 2199, THE HEALTH CARE AND LONG-TERM CARE SECURITY ACT OF 1990 __________________________________________________________ Attached is a copy of S. 2199, the proposed Health Care and Long-Term Care Security Act of 1990. The...

March 22, 1990 TO: TAX MEMBERS NO. 12-90 PENSION MEMBERS NO. 12-90 OPERATIONS MEMBERS NO. 10-90 TRANSFER AGENT ADVISORY COMMITTEE NO. 7-90 RE: 1990 INSTRUCTIONS FOR IRS FORMS 1099, 1098, 5498 AND W-2G __________________________________________________________ Attached is a copy of the...

March 21, 1990 TO: SEC RULES MEMBERS NO. 23-90 RE: COURT PERMANENTLY ENJOINS INVESTMENT COMPANY FROM VIOLATING 1940 ACT __________________________________________________________ The United States District Court for the Western District of North Carolina has permanently enjoined...

March 21, 1990 TO: BOARD OF GOVERNORS NO. 20-90 MEMBERS - ONE PER COMPLEX NO. 13-90 RE: ICI MUTUAL NEWSLETTER __________________________________________________________ Enclosed is the latest edition of Of Mutual Interest. Donald E. O'Connor Vice President - Operations Enclosure