May 23, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 29-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 29-89 RE: STATE SURVEY CONCERNING SERIES 65 EXAMINATION REQUIREMENT __________________________________________________________ The Institute has received a copy of a survey conducted by the...

May 23, 1989 TO: TAX MEMBERS NO. 16-89 MONEY MARKET FUND CHIEF EXECUTIVE OFFICERS NO. 4-89 UNIT INVESTMENT TRUST MEMBERS NO. 29-89 RE: INDIANA INTANGIBLES TAX REPEAL __________________________________________________________ As we previously informed you, an Indiana Superior Court...

May 22, 1989 TO: DIRECT MARKETING COMMITTEE NO. 21-89 MARKETING COMMITTEE NO. 14-89 OPERATIONS COMMITTEE NO. 8-89 PUBLIC INFORMATION COMMITTEE NO. 17-89 RESEARCH COMMITTEE NO. 15-89 SALES FORCE MARKETING COMMITTEE NO. 20-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 16-89 SMALL FUNDS...

May 22, 1989 TO: SEC RULES MEMBERS NO. 27-89 CLOSED-END FUND MEMBERS NO. 23-89 UNIT INVESTMENT TRUST MEMBERS NO. 28-89 RE: SEC INTERPRETIVE RELEASE ON MANAGEMENT'S DISCUSSION AND ANALYSIS AND INVESTMENT COMPANY DISCLOSURE __________________________________________________________ The...

May 19, 1989 TO: SMALL FUNDS COMMITTEE NO. 5-89 RE: CALIFORNIA EXPENSE LIMITATION COMMENT LETTER __________________________________________________________ As you know, the California Department of Corporations recently proposed to amend the expense limitation rule imposed on mutual...

May 19, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 17-89 RE: INVESTMENT COMPANY INSTITUTE SURVEY OF SHAREHOLDER SERVICES AND SERVICING (QUALITY OF SERVICE STUDY - STAGE I) __________________________________________________________ The explosive growth of the shareholder base over the last...

May 19, 1989 TO: TAX COMMITTEE NO. 8-89 OPTIONS AND FUTURES TASK FORCE NO. 4-89 RE: JUNE 1 MEETING ON SECTION 851(b)(4) ISSUES __________________________________________________________ The Internal Revenue Service is presently reconsidering a variety of section 851(b)(4) issues...

May 18, 1989 TO: DIRECT MARKETING COMMITTEE NO. 20-89 RE: MINUTES OF LAST MEETING __________________________________________________________ Attached are the minutes of the last meeting of the Direct Marketing Committee, which was held on April 27, 1989 in Washington, DC. Also...

May 18, 1989 TO: STATE SECURITIES MEMBERS NO. 18-89 UNIT INVESTMENT TRUST MEMBERS NO. 27-89 RE: NEW MEXICO FORM TO CLAIM BLUE CHIP EXEMPTION __________________________________________________________ As you know, New Mexico recently adopted an exemption from registration for qualified...

May 18, 1989 TO: STATE LIAISON COMMITTEE NO. 9-89 RE: CALIFORNIA EXPENSE LIMITATION COMMENT LETTER __________________________________________________________ As you know, the California Department of Corporations recently proposed to amend the expense limitation rule imposed on mutual...