May 18, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 23-89 RE: FUTURE OF THE MANUAL EXEMPTION __________________________________________________________ As you know, the manual exemption has come under increasing attack because many states believe that securities that could not...

May 17, 1989 TO: SEC RULES COMMITTEE NO. 25-89 CLOSED-END FUND COMMITTEE NO. 16-89 INVESTMENT ADVISERS COMMITTEE NO. 22-89 UNIT INVESTMENT TRUST COMMITTEE NO. 22-89 RE: INSTITUTE COMMENT LETTER ON PROPOSED RULE CHANGES UNDER SECTION 13(D) OF THE SECURITIES EXCHANGE ACT _______________...

May 17, 1989 TO: BOARD OF GOVERNORS NO. 33-89 MEMBERS - ONE PER COMPLEX NO. 16-89 DIRECT MARKETING COMMITTEE NO. 19-89 MARKETING COMMITTEE NO. 13-89 PUBLIC INFORMATION COMMITTEE NO. 16-89 RESEARCH COMMITTEE NO. 14-89 SALES FORCE MARKETING COMMITTEE NO. 19-89 SHAREHOLDER COMMUNICATIONS...

May 17, 1989 TO: BOARD OF GOVERNORS NO. 32-89 MEMBERS - ONE PER COMPLEX NO. 15-89 ICI MUTUAL MEMBERS NO. 5-89 ICI MUTUAL BOARD OF DIRECTORS NO. 3-89 RE: ICI MUTUAL NEWSLETTER __________________________________________________________ Enclosed is the inaugural copy of the ICI Mutual...

May 16, 1989 TO: MARKETING COMMITTEE NO. 12-89 DIRECT MARKETING COMMITTEE NO. 18-89 SALES FORCE MARKETING COMMITTEE NO. 18-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 14-89 PUBLIC INFORMATION COMMITTEE NO. 15-89 RESEARCH COMMITTEE NO. 13-89 SMALL FUNDS COMMITTEE NO. 4-89 MEMBERS...

May 16, 1989 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 28-89 BROKER-DEALER ASSOCIATE MEMBER NO. 1-89 RE: New Associate Member List __________________________________________________________ Enclosed is an updated list of the Institute's associate membership. This list supersedes...

May 16, 1989 TO: STATE LIAISON COMMITTEE NO. 8-89 RE: MEETING WITH NASAA'S REGULATED INDUSTRIES COORDINATION COMMITTEE __________________________________________________________ On April 6, 1989, staff members of the Institute and Lee Augsberger, Van Kampen Merritt, a member of the...

May 16, 1989 TO: CLOSED-END FUND MEMBERS NO. 22-89 RE: Updated Closed-End Fund List __________________________________________________________ Enclosed is an updated version of the closed-end fund list. This May 1989 edition contains assets for the funds as of year- end 1988. This...

May 15, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 24-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of April 28, 1989...

May 15, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 21-89 NORTH CAROLINA MEMBERS NORTH CAROLINA ASSOCIATE MEMBERS RE: NORTH CAROLINA PROPOSED LEGISLATION ESTABLISHING INVESTOR SECURITY FUND __________________________________________________________ The purpose of this memorandum is to...