May 12, 1989 TO: PUBLIC INFORMATION COMMITTEE NO. 14-89 RE: News Media at GMM __________________________________________________________ Attached is a list of news media representatives who have requested credentials to cover the General Membership Meeting, to be held here in...

May 11, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 28-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 27-89 RE: IDAHO EXCLUDES CPAs FROM INVESTMENT ADVISER LAW __________________________________________________________ On March 29, 1989, Idaho Governor Cecil Andrus signed Idaho House Bill No...

May 10, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 23-89 RE: FUND/SERV STATUS REPORT FOR MONTH ENDING APRIL, 1989 __________________________________________________________ Attached is a copy of the FUND/Serv Status Report for the month ending April, 1989. We will continue to send...

- 1 - May 10, 1989 TO: TAX COMMITTEE NO. 6-89 ACCOUNTING/TREASURERS COMMITTEE NO. 20-89 CLOSED-END FUND COMMITTEE NO. 15-89 RE: INSTITUTE STATEMENT ON CAPITAL GAIN PROPOSALS __________________________________________________________ Attached is the Institute's statement to the House...

May 9, 1989 TO: BOARD OF GOVERNORS NO. 31-89 MEMBERS - ONE PER COMPLEX NO. 14-89 DIRECT MARKETING COMMITTEE NO. 17-89 MARKETING COMMITTEE NO. 11-89 PUBLIC INFORMATION COMMITTEE NO. 13-89 RESEARCH COMMITTEE NO. 12-89 SALES FORCE MARKETING COMMITTEE NO. 17-89 SHAREHOLDER COMMUNICATIONS...

May 9, 1989 TO: SEC RULES COMMITTEE NO. 24-89 STATE LIAISON COMMITTEE NO. 6-89 RE: Proposed Illinois Broker-Dealer Legislation __________________________________________________________ Attached is a copy of a bill that has been introduced in the Illinois House of Representatives. The...

May 9, 1989 TO: STATE LIAISON COMMITTEE NO. 7-89 RE: UNIFORM NOTICE OF INTENTION TO SELL SECURITIES __________________________________________________________ We have revised the attached form entitled "Uniform Notice of Intention to Sell Securities" as we agreed upon at our State...

May 9, 1989 TO: CLOSED-END FUND MEMBERS NO. 21-89 OPERATIONS MEMBERS NO. 17-89 SEC RULES MEMBERS NO. 26-89 UNIT INVESTMENT TRUST MEMBERS NO. 26-89 ACCOUNTING/TREASURERS MEMBERS NO. 3-89 AD HOC COMMITTEE ON UNCLAIMED PROPERTY RE: LOCATING LOST SHAREHOLDERS _____________________________...

May 8, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 21-89 RE: FUND/SERV EXTENDED CORRECTION PROCESSING BUSINESS PLAN __________________________________________________________ As a result of the April 27-28, 1989 Broker/Dealer Advisory Committee meeting, NSCC has re-issued the...

May 8, 1989 TO: SEC RULES COMMITTEE NO. 23-89 CLOSED-END FUND COMMITTEE NO. 14-89 RE: INSTITUTE COMMENT LETTER CONCERNING PROPOSED RULE 32a-3 __________________________________________________________ As you know, the SEC proposed in March 1989 a new rule 32a- 3, which would expand...