August 15, 1989 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 32-89 CLOSED-END FUND MEMBERS NO. 38-89 INVESTMENT ADVISER MEMBERS NO. 43-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 43-89 SEC RULES MEMBERS NO. 43-89 RE: SEC ADOPTS EXAMINATION CERTIFICATE FORMS FOR ACCOUNTANTS ________________...

August 15, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 51-89 RE: LET'S WORK TOGETHER __________________________________________________________ As you know from the Investment Company Institute memo accompanying this memo the UIT Committee must submit a yield formula to the staff of...

August 15, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 52-89 RE: UPDATE ON PERFORMANCE NUMBERS __________________________________________________________ Yesterday, several unit trust sponsors met with the SEC staff on the issue of performance numbers. As a result of the discussions...

August 14, 1989 TO: STATE LIAISON COMMITTEE NO. 11-89 RE: NOTICE OF STATE LIAISON COMMITTEE MEETING SEPTEMBER 26, 1989 __________________________________________________________ A meeting of the State Liaison Committee has been scheduled for noon on Tuesday, September 26, 1989. The...

August 14, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 38-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of July 31, 1989...

August 14, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 37-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING JULY, 1989 __________________________________________________________ Attached is a copy of the Fund/SERV Status Report for the month ending July, 1989. We will continue to send...

August 11, 1989 TO: SEC RULES MEMBERS NO. 42-89 RE: NO-ACTION LETTER CLARIFIES STAFF POSITION ON FILING APPLICATIONS UNDER SECTION 8(F) IN FUND MERGERS __________________________________________________________ In a recent no-action letter concerning the reorganization of two...

August 11, 1989 TO: SEC RULES MEMBERS NO. 40-89 RE: STAFF DENIES SECOND REQUEST FOR NO-ACTION FOR BANK COMMON TRUST FUND __________________________________________________________ The Staff of the Division of Investment Management has denied a second request for no-action assurances...

- 1 - August 11, 1989 TO: TAX COMMITTEE NO. 12-89 RE: HOUSE WAYS AND MEANS COMMITTEE DRAFT VERSION OF REVENUE RECONCILIATION ACT OF 1989 __________________________________________________________ Congress recessed last week before the House Ways and Means Committee completed its...

August 11, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 50-89 RE: SEC ADOPTS RULE 11a-3; TAKES NO ACTION ON RULE 11c-1 __________________________________________________________ The SEC has adopted Rule 11a-3 under the Investment Company Act, governing exchange offers by mutual funds...