May 5, 1989 TO: STATE SECURITIES MEMBERS NO. 17-89 BLUE SKY GUIDE RECIPIENTS RE: REGISTRATION OF SECURITIES IN MARYLAND __________________________________________________________ At the request of the Maryland Division of Securities, we are sending this memorandum to remind you that...

May 4, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 21-89 RE: MEMORANDUM FROM FULBRIGHT & JAWORSKI ON PROSPECTUS DELIVERY __________________________________________________________ Attached for your information are copies of the no-action letters referred to in the memorandum from...

May 4, 1989 TO: BOARD OF GOVERNORS NO. 29-89 RE: PROPOSED MINUTES OF JANUARY 25-26, 1989 __________________________________________________________ Attached hereto is a copy of the minutes of January 25-26, 1989 which are proposed to be presented to the Board of Governors at its next...

May 4, 1989 TO: BOARD OF GOVERNORS NO. 30-89 MARKETING COMMITTEE NO. 10-89 DIRECT MARKETING COMMITTEE NO. 16-89 SALES FORCE MARKETING COMMITTEE NO. 16-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 12-89 RESEARCH COMMITTEE NO. 11-89 PENSION MEMBERS NO. 25-89 INVESTMENT ADVISER MEMBERS NO...

May 4, 1989 TO: SEC RULES MEMBERS NO. 25-89 STATE SECURITIES MEMBERS NO. 16-89 CLOSED-END FUND MEMBERS NO. 20-89 UNIT INVESTMENT TRUST MEMBERS NO. 25-89 RE: ISSUERS IN CALIFORNIA REQUIRED TO INCLUDE PROSPECTUS DISCLOSURE ON DOING BUSINESS IN SOUTH AFRICA ______________________________...

May 3, 1989 TO: SEC RULES MEMBERS NO. 24-89 RE: CORRECTED MEMORANDUM REGARDING PERFORMANCE ADVERTISING __________________________________________________________ We are re-issuing our memorandum to SEC Rules Members No. 22-89 regarding Recent SEC No-Action Letters on Performance...

May 3, 1989 TO: STATE SECURITIES MEMBERS NO. 15-89 BLUE SKY GUIDE RECIPIENTS RE: NEW YORK STATE DOUBLES REGISTRATION FEE FOR INVESTMENT COMPANIES __________________________________________________________ Attached is a new schedule of fees which the New York State Department of Law...

May 2, 1989 TO: TAX MEMBERS NO. 15-89 MONEY MARKET FUND CHIEF EXECUTIVE OFFICERS NO. 3-89 RE: NEW YORK ADVISORY OPINION ON PASS-THROUGH OF FEDERAL AGENCY OBLIGATION INTEREST __________________________________________________________ The attached advisory opinion was recently issued by...

May 1, 1989 TO: CLOSED-END FUND MEMBERS NO. 19-89 OPEN-END FUND MEMBERS - STATISTICAL SUBSCRIBERS RE: CLOSED END FUND DATA BASE __________________________________________________________ Enclosed are the results of the Institute's survey on closed-end funds. Table I contains total...

May 1, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 12-89 DIRECT MARKETING COMMITTEE NO. 15-89 MARKETING COMMITTEE NO. 9-89 PUBLIC INFORMATION COMMITTEE NO. 12-89 RESEARCH COMMITTEE NO. 10-89 SALES FORCE MARKETING COMMITTEE NO. 15-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 11-89 BROKER...