June 8, 1989 TO: PENSION MEMBERS NO. 28-89 RE: IRS NOTICE CONCERNING MODEL CASH OR DEFERRED ARRANGEMENT __________________________________________________________ In Notice 87-34, the IRS published a model amendment for use by sponsors of master or prototype profit-sharing plans to...

June 8, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 25-89 RE: 1. MEETING AGENDAS - JUNE 15-16, 1989 2. NSCC TOPICS __________________________________________________________ Attached are the agendas for the June 15-16, 1989 Broker/Dealer Advisory Committee meetings. Also attached is...

June 8, 1989 TO: TAX COMMITTEE NO. 9-89 SEC RULES COMMITTEE NO. 26-89 RE: RETURN OF CAPITAL __________________________________________________________ Several tax and securities issues have arisen recently regarding investment companies making return of capital payments to...

- 1 - June 8, 1989 TO: MARKETING COMMITTEE NO. 17-89 RE: ASSET-BACKED SECURITIES BACKED BY PERSONAL PROPERTY __________________________________________________________ There appears to be a proliferation of offerings of what have been collectively referred to as asset-backed...

June 7, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 33-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 33-89 RE: NORTH DAKOTA PASSES INVESTMENT ADVISER LEGISLATION __________________________________________________________ North Dakota has enacted North Dakota Senate Bills 2246 and 2175...

June 7, 1989 TO: PUBLIC INFORMATION COMMITTEE NO. 19-89 RE: MINUTES OF APRIL 26 MEETING __________________________________________________________ Attached are the minutes of the April 26, 1989 Public Information Committee meeting, which was held at the University Club in Washington...

June 7, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 30-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 30-89 RE: MARYLAND PASSES INVESTMENT ADVISER LAW __________________________________________________________ On May 25, 1989, Maryland Governor William Donald Schaefer signed Maryland House...

June 7, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 19-89 CLOSED-END FUND MEMBERS NO. 24-89 INVESTMENT ADVISER MEMBERS NO. 34-89 SEC RULES MEMBERS NO. 28-89 UNIT INVESTMENT TRUST MEMBERS NO. 31-89 RE: SUMMARY OF SEC NO-ACTION AND INTERPRETIVE LETTERS - SERIES 45 ___________________________...

June 7, 1989 TO: STATE SECURITIES MEMBERS NO. 20-89 BLUE SKY GUIDE RECIPIENTS RE: ALASKA'S SALES REPORT REQUIREMENT AND MISSOURI'S SALES REPORT FORM __________________________________________________________ We are pleased to inform you that we have confirmed with the Alaska...

June 7, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 31-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 31-89 RE: ILLINOIS AMENDS INVESTMENT ADVISER LAW __________________________________________________________ Effective July 1, 1989, investment advisers and investment adviser representatives...