April 27, 1989 TO: CLOSED-END FUND COMMITTEE NO. 13-89 RE: SURVEY ON CLOSED-END FUND PROTECTION FEATURES AND DISCOUNT CONTROL MEASURES __________________________________________________________ At the April 19, 1989 Closed-End Fund Committee Meeting, Chairman DeStaebler discussed the...

April 24, 1989 TO: BOARD OF GOVERNORS NO. 27-89 SEC RULES MEMBERS NO. 23-89 CLOSED-END FUND COMMITTEE NO. 12-89 FEDERAL LEGISLATION COMMITTEE NO. 6-89 UNIT INVESTMENT TRUST COMMITTEE NO. 20-89 RE: INSTITUTE COMMENTS ON PROPOSED LEGISLATION TO REGULATE TELEMARKETING ACTIVITIES ________...

April 26, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 20-89 RE: VIRGINIA PROPOSES INVESTMENT ADVISER RULES __________________________________________________________ On April 19, 1989, the State Corporation Commission of Virginia proposed rules concerning investment advisers and...

April 26, 1989 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 19-89 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: NOTICE OF MEETING - JUNE 20, 1989 __________________________________________________________ This is to advise you that the next meeting of the combined Accounting/Treasurers...

April 25, 1989 TO: BOARD OF GOVERNORS NO. 26-89 MARKETING COMMITTEE NO. 8-89 DIRECT MARKETING COMMITTEE NO. 14-89 SALES FORCE MARKETING COMMITTEE NO. 14-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 10-89 RESEARCH COMMITTEE NO. 9-89 PENSION MEMBERS NO. 24-89 MEMBERS INTERESTED IN PUBLIC...

- 1 - April 21, 1989 TO: TAX COMMITTEE NO. 5-89 OPERATIONS COMMITTEE NO. 7-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 10-89 CLOSED-END FUND COMMITTEE NO. 11-89 UNIT INVESTMENT TRUST COMMITTEE NO. 19-89 RE: INSTITUTE STATEMENT ON INFORMATION REPORTING PENALTIES ______________...

April 21, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 18-89 RE: APRIL 28 MEETING __________________________________________________________ Attached is a preliminary agenda for the April 28 meeting of the Unit Investment Trust Committee. The meeting will take place at 10:00 a.m. at...

- 1 - April 20, 1989 TO: PENSION MEMBERS NO. 23-89 RE: IRS REVENUE RULING CONCERNING IRA ROLLOVER FROM A SECTION 403(b) ARRANGEMENT __________________________________________________________ Attached is a copy of IRS Revenue Ruling 89-50, which addresses the rollover into an IRA of a...

April 20, 1989 TO: DIRECT MARKETING COMMITTEE NO. 13-89 RE: Marketing to the Bank Trust Department Marketplace __________________________________________________________ On April 5, 1989, the Institute met with a small group of direct- marketed fund groups who are interested in...

April 20, 1989 TO: UNIT INVESTMENT TRUST MEMBERS NO. 24-89 RE: INSTITUTE COMMENTS ON SEC PROPOSED AMENDMENTS TO SECTION 16 RULES __________________________________________________________ In December, the SEC proposed a number of substantive changes to the rules under section 16 of...