July 28, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 39-89 RE: PERFORMANCE NUMBERS __________________________________________________________ This morning, representatives of the ICI and four UIT sponsors met with staff members of the SEC on the issue of UIT performance numbers. Late...

July 28, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 41-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 40-89 RE: VIRGINIA ADOPTS INVESTMENT ADVISER RULES __________________________________________________________ Effective July 1, 1989, the Division of Securities and Retail Franchising of...

July 28, 1989 TO: PUBLIC INFORMATION COMMITTEE NO. 20-89 RE: Directory of All-News Business Shows on TV and Radio __________________________________________________________ Since there are a number of new, or expanded, business news networks, we have pulled together some basic...

July 27, 1989 TO: STATE SECURITIES MEMBERS NO. 28-89 UNIT INVESTMENT TRUST MEMBERS NO. 39-89 RE: TEXAS ADOPTS LEGISLATION RELATING TO OVERSALES AND SALES OF UNREGISTERED SECURITIES __________________________________________________________ Currently, Texas allows oversales to be...

July 27, 1989 TO: STATE SECURITIES MEMBERS NO. 27-89 RE: OKLAHOMA ADOPTS NEW REGISTRATION RULE __________________________________________________________ The Oklahoma Department of Securities recently adopted Rule R-305, Registrations in General, effective July 14, 1989 which affects...

July 26, 1989 TO: SALES FORCE MARKETING COMMITTEE NO. 23-89 RE: NASD REPROPOSES AMENDMENTS CONCERNING CASH AND NON-CASH CONCESSIONS IN CONNECTION WITH THE RETAIL SALE OF INVESTMENT COMPANY SECURITIES __________________________________________________________ As you will recall, the...

July 26, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 40-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 39-89 RE: SEC SANCTIONS ADVISER FOR VIOLATIONS OF ADVERTISING, RECORDKEEPING AND DISCLOSURE RULES __________________________________________________________ On July 3, 1989, the SEC filed...

July 26, 1989 TO: TAX COMMITTEE NO. 11-89 UNIT INVESTMENT TRUST COMMITTEE NO. 38-89 CLOSED-END FUND COMMITTEE NO. 29-89 OPERATIONS COMMITTEE NO. 12-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 19-89 RE: INSTITUTE REQUEST TO POSTPONE B NOTICES __________________________________...

July 26, 1989 TO: TAX MEMBERS NO. 26-89 PENSION MEMBERS NO. 34-89 OPERATIONS MEMBERS NO. 22-89 UNIT INVESTMENT TRUST MEMBERS NO. 38-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 18-89 ACCOUNTING/TREASURERS COMMITTEE NO. 25-89 RE: IRS REQUIREMENTS FOR SUBSTITUTE FORMS 1099-B...

July 25, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 35-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of June 30, 1989...