September 22, 1989 TO: RESEARCH COMMITTEE NO. 26-89 RE: AGENDA FOR UPCOMING MEETING @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ Enclosed is our agenda for the Research Committee meeting of October 3, 1989. It will begin at 9:00 a.m. at the Madison Hotel, corner...

September 22, 1989 TO: STATE LIAISON COMMITTEE NO. 13-89 RE: NASAA REGULATED INDUSTRY COMMITTEE - MUTUAL FUND REGISTRATION COMPLIANCE STUDY __________________________________________________________ As you know, the Regulated Industry Committee (Committee) of the North American...

September 20, 1989 TO: BOARD OF GOVERNORS NO. 57-89 FEDERAL LEGISLATION COMMITTEE NO. 11-89 RE: CONGRESSMAN THOMAS J. MANTON TO ADDRESS FEDERAL LEGISLATION COMMITTEE AND BOARD OF GOVERNORS __________________________________________________________ The Honorable Thomas J. Manton (D-NY)...

September 19, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 42-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of August 31...

September 19, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 43-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING AUGUST, 1989 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending August, 1989. We will continue...

September 18, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 39-89 RE: NEVADA PROPOSES INVESTMENT ADVISER RULE CHANGES __________________________________________________________ The Securities Division of the office of the Nevada Secretary of State is proposing certain changes in the...

September 18, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 63-89 RE: RESALES OF UNITS AFTER REPEAL OF THE VIRGINIA MANUAL EXEMPTION __________________________________________________________ Effective July 1, 1989, Virginia repealed its manual exemption. The Institute has been working...

September 14, 1989 TO: PENSION MEMBERS NO. 44-89 RE: IRS FORMS 4461, 4461-A AND 4461-B __________________________________________________________ Attached are copies of the latest versions of IRS Form 4461, Application for Approval of Master or Prototype and Regional Prototype Defined...

September 14, 1989 TO: AUDIT COMMITTEE NO. 3-89 RE: Meeting, October 4, 1989 __________________________________________________________ A meeting of the Institute's Audit Committee is scheduled for Wednesday, October 4 in the Executive Conference Room at the Institute. The meeting...

September 14, 1989 TO: SEC RULES MEMBERS NO. 49-89 UNIT INVESTMENT TRUST COMMITTEE NO. 61-89 INTERNATIONAL FUNDS TASK FORCE NO. 12-89 CLOSED-END FUND COMMITTEE NO. 38-89 RE: INSTITUTE FILES COMMENT LETTER ON REPROPOSED REGULATION S _____________________________________________________...