October 24, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 50-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING SEPTEMBER, 1989 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending September, 1989. We will...

October 24, 1989 TO: DIRECT MARKETING COMMITTEE NO. 32-89 PUBLIC INFORMATION COMMITTEE NO. 28-89 SALES FORCE MARKETING COMMITTEE NO. 32-89 RE: Fund Management Personnel Disclosure __________________________________________________________ In the context of our discussions at the...

October 24, 1989 TO: SEC RULES MEMBERS NO. 62-89 INVESTMENT ADVISER MEMBERS NO. 54-89 RE: SANCTIONS IMPOSED AGAINST A FUND'S ADVISER AND PRESIDENT OF THE ADVISER __________________________________________________________ Attached is an SEC enforcement order imposing sanctions against...

October 24, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 51-89 RE: BROKER/DEALER ADVISORY COMMITTEE MEETING - NOVEMBER 3, 1989 - ORLANDO, FLORIDA __________________________________________________________ Attached is the documentation for the National Securities Clearing Corporation...

October 23, 1989 TO: BOARD OF GOVERNORS NO. 64-89 SEC RULES MEMBERS NO. 61-89 CLOSED-END FUND MEMBERS NO. 60-89 RE: INSTITUTE COMMENTS ON PROPOSED REVISIONS TO FORM N-2 __________________________________________________________ Attached is the Institute's comment letter on the SEC's...

October 23, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 49-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of September 29...

11/ The percentage of appreciation fee would simply be a specified percentage to the appreciation in the accounts assets. The base plus fee would provide for a minimum fee plus a fee which increases incrementally to the extent the adviser's performance exceeds a disignated index. The...

October 20, 1989 TO: TAX MEMBERS NO. 41-89 CLOSED-END FUND MEMBERS NO. 59-89 RE: IRS TEMPORARY REGULATIONS ON USE OF CERTAIN CORPORATE TAX ATTRIBUTES (SUCH AS CAPITAL LOSS CARRYFORWARDS) __________________________________________________________ The attached temporary and proposed...

October 19, 1989 TO: SEC RULES MEMBERS NO. 60-89 CLOSED-END FUND MEMBERS NO. 58-89 INVESTMENT ADVISER MEMBERS NO. 52-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 53-89 STATE SECURITIES MEMBERS NO. 36-89 UNIT INVESTMENT TRUST MEMBERS NO. 57-89 BROKER/DEALER ADVISORY COMMITTEE NO. 48-89...

- 1 - October 18, 1989 TO: SEC RULES MEMBERS NO. 59-89 STATE SECURITIES MEMBERS NO. 35-89 CLOSED-END FUND MEMBERS NO. 57-89 UNIT INVESTMENT TRUST MEMBERS NO. 56-89 RE: CALIFORNIA PROPOSED ANTI-APARTHEID DISCLOSURE REGULATIONS __________________________________________________________...