April 19, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 19-89 RE: NOTICE OF TWO-DAY MEETING - CHANGE OF DATES NEW DATES: JUNE 15-16, 1989 __________________________________________________________ This is to advise you that the two-day meeting of the Broker/Dealer Advisory Committee...

April 19, 1989 TO: BOARD OF GOVERNORS NO. 25-89 STATE SECURITIES MEMBERS NO. 14-89 UNIT INVESTMENT TRUST MEMBERS NO. 23-89 INVESTMENT ADVISER MEMBERS NO. 26-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 25-89 RE: INSTITUTE COMMENT LETTER ON THE AGENDA FOR THE ANNUAL SEC-NASAA CONFERENCE...

April 18, 1989 TO: SEC RULES MEMBERS NO. 22-89 RE: RECENT SEC NO ACTION LETTERS ON PERFORMANCE ADVERTISING __________________________________________________________ In an attached no action request and response the staff of the SEC's Division of Investment Management stated that it...

April 18, 1989 TO: STATE LIAISON COMMITTEE NO. 5-89 RE: COMMENTS REQUESTED ON OKLAHOMA'S RENEWAL PROCESS __________________________________________________________ The Institute has recently been contacted by several members stating that Oklahoma's renewal process is overly burdensome...

- 1 - April 18, 1989 TO: TAX MEMBERS NO. 14-89 UNIT INVESTMENT TRUST MEMBERS NO. 22-89 CLOSED-END FUND MEMBERS NO. 18-89 OPERATIONS MEMBERS NO. 15-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 9-89 RE: AMENDMENTS TO BACKUP WITHHOLDING REGULATIONS _______________________________...

April 18, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 18-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of March 31, 1989...

April 17, 1989 TO: EXECUTIVE COMMITTEE NO. 5-89 AUDIT COMMITTEE NO. 2-89 RE: Monthly Financial Reports __________________________________________________________ Enclosed is a copy of the financial statements of the Investment Company Institute for the sixth month ending March 31...

April 17, 1989 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 18-89 OPERATIONS MEMBERS NO. 14-89 SEC RULES COMMITTEE NO. 22-89 STATE LIAISON COMMITTEE NO. 4-89 TAX MEMBERS NO. 13-89 MEMBERS - ONE PER COMPLEX NO. 10-89 RE: Training Conference Videotapes _______________________________________...

April 17, 1989 TO: TRANSFER AGENT SHAREHOLDER ACCOUNTING ADVISORY COMMITTEE NO. 8-89 RE: AGENDA FOR APRIL 24 MEETING __________________________________________________________ Attached is the agenda for the April 24, 1989 Transfer Agent Shareholder Accounting Advisory Committee...

April 14, 1989 TO: CONTRACTUAL PLANS COMMITTEE NO. 2-89 RE: NOTICE OF MEETING - MAY 24, 1989 __________________________________________________________ This is to advise you that there will be a Contractual Plans Committee meeting in the Washington Board Room at the Grand Hyatt...