December 13, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 39-89 OPERATIONS COMMITTEE NO. 24-89 RE: ICI SURVEY OF TRANSFER AGENT FEES* __________________________________________________________ In 1987 and again in 1988, the Institute commissioned the accounting firm of Coopers & Lybrand to...

December 12, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 57-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING NOVEMBER, 1989 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending November, 1989. We will...

- 1 - December 12, 1989 TO: BOARD OF GOVERNORS NO. 74-89 RE: SIA PROPOSAL ON GLASS-STEAGALL __________________________________________________________ The Securities Industry Association has proposed a legislative plan that would amend the Glass-Steagall Act by permitting banking...

December 12, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 56-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Enclosed is a copy of the Registration Status Report as of November 30...

December 12, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 51-89 UNIT INVESTMENT TRUST COMMITTEE NO. 83-89 RE: NOTICE OF MEETING, JANUARY 30, 1990 __________________________________________________________ A meeting of your committee has been scheduled for Tuesday, January 30, 1990 at 10...

December 11, 1989 TO: BOARD OF GOVERNORS NO. 73-89 SEC RULES MEMBERS NO. 68-89 UNIT INVESTMENT TRUST MEMBERS NO. 67-89 CLOSED-END FUND MEMBERS NO. 66-89 ACCOUNTING/TREASURERS COMMITTEE NO. 54-89 BROKER/DEALER ADVISORY COMMITTEE NO. 55-89 JOINT TASK FORCE ON UIT YIELD YIELD...

December 11, 1989 TO: DIRECT MARKETING COMMITTEE NO. 38-89 RE: Minutes of Last Meeting and Questionnaire on Next Meeting __________________________________________________________ Enclosed are the minutes and attendee list of the most recent meeting of the Direct Marketing Committee...

December 11, 1989 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 59-89 INVESTMENT ADVISER MEMBERS NO. 59-89 RE: SEC DIVISION PERMITS DEDUCTION OF MODEL FEE IN PERFORMANCE DATA ADVERTISEMENTS __________________________________________________________ On November 27, 1989, the SEC's...

December 11, 1989 TO: SEC RULES COMMITTEE NO. 75-89 STATE LIAISON COMMITTEE NO. 19-89 RE: NOTICE OF MEETING - JANUARY 11, 1990 __________________________________________________________ The SEC Rules Committee and State Liaison Committee meetings have been scheduled for Thursday...

December 8, 1989 TO: SEC RULES MEMBERS NO. 67-89 UNIT INVESTMENT TRUST MEMBERS NO. 66-89 RE: SEC ISSUES ORDER SUSPENDING REDEMPTION OF A MUTUAL FUND'S SHARES __________________________________________________________ Pursuant to the attached order, the SEC suspended redemption of a...