August 31, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 57-89 RE: WASHINGTON MANUAL EXEMPTION __________________________________________________________ As you know, the manual exemption has been attacked in some states because state administrators believe that securities that could...

September 5, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 47-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 47-89 RE: SEC SANCTIONS ADVISER FOR VIOLATIONS OF RECORDKEEPING, BROCHURE, CUSTODY, AND OTHER ADVISER ACT RULES __________________________________________________________ On July 25...

August 30, 1989 TO: SMALL FUNDS MEMBERS NO. 5-89 RE: SMALL FUNDS CONFERENCE - NOVEMBER 15-17, 1989 __________________________________________________________ You are cordially invited to attend the annual Small Funds Conference which is scheduled for November 15-17, 1989 at the Hotel...

August 30, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 36-89 RE: NOTICE OF MEETING, OCTOBER 10, 1989 __________________________________________________________ A meeting of your committee has been scheduled for Tuesday, October 10, 1989 at 1:30 p.m. following a joint luncheon with the...

August 29, 1989 TO: SEC RULES MEMBERS NO. 48-89 UNIT INVESTMENT TRUST MEMBERS NO. 45-89 BROKER/DEALER ADVISORY COMMITTEE NO. 40-89 CLOSED-END FUND MEMBERS NO. 39-89 RE: NASD SUPERVISORY PROCEDURES CHECKLIST __________________________________________________________ Attached is a...

September 1, 1989 TO: BOARD OF GOVERNORS NO. 54-89 MEMBERS - ONE PER COMPLEX NO. 29-89 FEDERAL LEGISLATION COMMITTEE NO. 10-89 MARKETING COMMITTEE NO. 22-89 TAX COMMITTEE NO. 14-89 RE: Conference on Saving __________________________________________________________ As part of the...

August 28, 1989 TO: SALES FORCE MARKETING COMMITTEE NO. 27-89 RE: Agenda for Upcoming Meeting __________________________________________________________ Attached is our agenda for the upcoming meeting of the Sales Force Marketing Committee. The meeting will be held at 9:30 a.m. on...

August 28, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 56-89 RE: PERFORMANCE NUMBERS FOR EXISTING SERIES __________________________________________________________ Kathie McGrath called me on Friday, August 25th to reopen this issue. I urged her to leave it alone at this time due to...

August 25, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 28-89 RE: 1988 INSTITUTIONAL SURVEY __________________________________________________________ The enclosed two pages are replacement sheets for the 1988 Institutional Survey (No. 20-89) which was mailed July 26, 1989. Please insert...

August 25, 1989 TO: BOARD OF GOVERNORS NO. 53-89 SEC RULES MEMBERS NO. 47-89 UNIT INVESTMENT TRUST MEMBERS NO. 44-89 RE: FINANCIAL INSTITUTIONS REFORM, RECOVERY AND ENFORCEMENT ACT OF 1989 __________________________________________________________ The President has signed into law the...