July 14, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 37-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 36-89 RE: NEW JERSEY ADOPTS PERFORMANCE FEE COMPENSATION RULE __________________________________________________________ Effective June 19, 1989, New Jersey has adopted a performance fee...

July 14, 1989 TO: STATE LIAISON COMMITTEE NO. 10-89 SEC RULES COMMITTEE NO. 36-89 RE: NASAA REGULATED INDUSTRIES COMMITTEE PROPOSAL REGARDING LATE RENEWAL __________________________________________________________ The Regulated Industries Committee of the North American Securities...

- 1 - July 14, 1989 TO: TAX MEMBERS NO. 23-89 UNIT INVESTMENT TRUST MEMBERS NO. 36-89 CLOSED-END FUND MEMBERS NO. 29-89 OPERATIONS MEMBERS NO. 20-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 16-89 RE: IRS ANNOUNCEMENT OF MAGNETIC TAPE SPECIFICATIONS FOR THIS FALL'S B NOTICES _...

July 14, 1989 TO: TAX MEMBERS NO. 22-89 UNIT INVESTMENT TRUST MEMBERS NO. 35-89 CLOSED-END FUND MEMBERS NO. 28-89 OPERATIONS MEMBERS NO. 19-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 15-89 RE: IRS SEMINARS ON MAGNETIC MEDIA REPORTING _________________________________________...

July 13, 1989 TO: BOARD OF GOVERNORS NO. 41-89 RE: INSTITUTE COMMENT LETTER ON APPLICATION OF BANK HOLDING COMPANY TO BROKER SHARES OF AFFILIATED INVESTMENT COMPANIES __________________________________________________________ The Institute has submitted a comment letter to the Federal...

July 11, 1989 TO: STATE SECURITIES MEMBERS NO. 24-89 RE: FILING FEES IN WASHINGTON STATE __________________________________________________________ At the request of the Washington Securities Division, we are sending this memorandum to clarify the state's policy in regard to certain...

July 7, 1989 TO: STATE SECURITIES MEMBERS NO. 23-89 UNIT INVESTMENT TRUST MEMBERS NO. 34-89 RE: MARYLAND ADOPTS INDEFINITE REGISTRATION PROVISION AND EXEMPTION FOR RESALE OF UNITS OF UNIT TRUSTS __________________________________________________________ Effective July 1, 1989...

-1- July 7, 1989 TO: SEC RULES COMMITTEE NO. 35-89 UNIT INVESTMENT TRUST COMMITTEE NO. 33-89 CLOSED-END FUND COMMITTEE NO. 24-89 BROKER/DEALER ADVISORY COMMITTEE NO. 31-89 RE: NASD REPROPOSES AMENDMENTS CONCERNING CASH AND NON-CASH CONCESSIONS IN CONNECTION WITH THE RETAIL SALE OF...

July 6, 1989 TO: BOARD OF GOVERNORS NO. 40-89 SEC RULES COMMITTEE NO. 34-89 UNIT INVESTMENT TRUST COMMITTEE NO. 31-89 RE: INSTITUTE COMMENT LETTER TO FEDERAL RESERVE BOARD ON BANC ONE MUTUAL FUND APPLICATION __________________________________________________________ The Institute has...

- 1 - July 6, 1989 TO: CLOSED-END FUND COMMITTEE NO. 23-89 UNIT INVESTMENT TRUST COMMITTEE NO. 32-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 14-89 OPERATIONS MEMBERS NO. 18-89 TAX MEMBERS NO. 21-89 RE: HOUSE WAYS AND MEANS COMMITTEE APPROVES MODIFICATIONS TO INFORMATION...