- 1 - March 5, 1990 TO: SEC RULES MEMBERS NO. 19-90 BROKER/DEALER ADVISORY COMMITTEE NO. 9-90 BROKER-DEALER ASSOCIATE MEMBERS RE: NASD PROPOSED AMENDMENTS CONCERNING CUSTOMER ACCOUNT INFORMATION __________________________________________________________ The NASD is requesting its...

March 2, 1990 TO: DIRECT MARKETING COMMITTEE NO. 7-90 PUBLIC INFORMATION COMMITTEE NO. 5-90 SALES FORCE MARKETING COMMITTEE NO. 7-90 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 7-90 RE: APRIL COMMITTEE MEETING SCHEDULE __________________________________________________________ The next...

March 1, 1990 TO: TAX MEMBERS NO. 11-90 UNIT INVESTMENT TRUST MEMBERS NO. 16-90 RE: REVENUE RULING ON GAIN NONRECOGNITION WHEN TRUST CERTIFICATE EXCHANGED FOR SHARE OF TRUST ASSETS __________________________________________________________ In Revenue Ruling 90-7 (attached), the...

March 1, 1990 TO: MEMBERS - ONE PER COMPLEX NO. 9-90 SEC RULES MEMBERS NO. 18-90 DIRECT MARKETING COMMITTEE NO. 6-90 PUBLIC INFORMATION COMMITTEE NO. 4-90 SALES FORCE MARKETING COMMITTEE NO. 6-90 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 6-90 MARKETING COMMITTEE NO. 5-90 MEMBERS...

February 28, 1990 TO: CLOSED-END FUND MEMBERS NO. 11-90 SEC RULES MEMBERS NO. 17-90 UNIT INVESTMENT TRUST MEMBERS NO. 15-90 INTERNATIONAL FUNDS TASK FORCE NO. 3-90 RE: SEC ADOPTS RULE 12d1-1, REMOVING RESTRICTIONS ON PURCHASES OF SECURITIES OF FOREIGN BANKS AND INSURANCE COMPANIES ___...

February 28, 1990 TO: STATE SECURITIES MEMBERS NO. 3-90 UNIT INVESTMENT TRUST MEMBERS NO. 14-90 SMALL FUNDS COMMITTEE NO. 5-90 RE: COMMENTS ON OHIO'S PROPOSED OVERSALE SOLUTION __________________________________________________________ The Institute has actively been working with the...

February 28, 1990 TO: STATE SECURITIES MEMBERS NO. 2-90 UNIT INVESTMENT TRUST MEMBERS NO. 13-90 RE: COMMENTS ON MASSACHUSETTS PROPOSED RULES __________________________________________________________ The Massachusetts Securities Division recently asked for comments regarding proposed...

February 27, 1990 TO: SEC RULES MEMBERS NO. 16-90 CLOSED-END FUND MEMBERS NO. 10-90 UNIT INVESTMENT TRUST MEMBERS NO. 12-90 HIGH YIELD BOND TASK FORCE RE: STAFF ISSUES ADDITIONAL LETTER ON DISCLOSURE REQUIREMENTS FOR FUNDS THAT INVEST IN HIGH YIELD BONDS ______________________________...

February 26, 1990 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 7-90 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: SEC ACCOUNTING POSITION __________________________________________________________ The SEC's Division of Investment Management requested that we disseminate the attached position...

- 1 - February 26, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 5-90 RE: PROPOSED LEGISLATION CONCERNING SOFT DOLLAR AND TRANSACTION COSTS DISCUSSED BY CALIFORNIA SENATE COMMISSION __________________________________________________________ On January 26, 1990, the Senate Commission on...