March 13, 1989 TO: SALES FORCE MARKETING COMMITTEE NO. 8-89 RE: Minutes of January 19, 1989 Meeting __________________________________________________________ Enclosed for your review are the minutes of the January 19 committee meeting in San Francisco. Within the next few weeks we...

March 10, 1989 TO: PUBLIC INFORMATION COMMITTEE NO. 6-89 RESEARCH COMMITTEE NO. 6-89 MARKETING COMMITTEE NO. 6-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 6-89 MEMBERS - ONE PER COMPLEX NO. 6-89 DIRECT MARKETING COMMITTEE NO. 8-89 SALES FORCE MARKETING COMMITTEE NO. 7-89 RE: RESEARCH...

March 10, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 12-89 RE: PROPOSED MASSACHUSETTS RULE AMENDS MANUAL EXEMPTION __________________________________________________________ Attached is a copy of a proposed rule that defines "non- issuer transaction or distribution" and also...

March 9, 1989 TO: CLOSED-END FUND MEMBERS NO. 15-89 INVESTMENT ADVISERS COMMITTEE NO. 12-89 STATE LIAISON COMMITTEE NO. 1-89 UNIT INVESTMENT TRUST COMMITTEE NO. 11-89 RE: 1989 SEC/NASAA ANNUAL CONFERENCE ON UNIFORMITY OF SECURITIES LAW _________________________________________________...

March 9, 1989 TO: RESEARCH COMMITTEE NO. 5-89 RE: DATE OF SPRING COMMITTEE MEETING __________________________________________________________ Planning for the Spring meeting of the Research Committee is underway. To meet the request of many members that we try to schedule the meeting...

- 1 - March 9, 1989 TO: PENSION MEMBERS NO. 14-89 INVESTMENT ADVISER MEMBERS NO. 21-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 20-89 RE: DEPARTMENT OF LABOR PROXY PROJECT REPORT __________________________________________________________ As you know, the Department of Labor in 1988...

March 9, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 12-89 RE: NOTICE OF TWO-DAY MEETING - CHANGE IN DATES NEW DATES: APRIL 27 & 28, 1989 __________________________________________________________ This is to advise you that the two-day meeting of the Broker/Dealer Advisory Committee...

March 8, 1989 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 18-89 INVESTMENT ADVISER MEMBERS NO. 19-89 RE: TEXAS EXEMPTS ADVISERS AND CERTIFIED BY IFSCFP FROM EXAMINATION REQUIREMENTS __________________________________________________________ On February 15, 1989, the Texas State...

March 8, 1989 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 19-89 INVESTMENT ADVISER MEMBERS NO. 20-89 RE: ADVISER SANCTIONED FOR FAILURE TO DISCLOSE THAT IT RECEIVED COMMISSIONS AND 12b-1 DISTRIBUTION FEES __________________________________________________________ In the attached SEC...

March 8, 1989 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 17-89 INVESTMENT ADVISER MEMBERS NO. 18-89 RE: CALIFORNIA ADOPTS PROVISION EXEMPTING CERTAIN ADVISERS FROM ITS QUALIFICATIONS REQUIREMENT __________________________________________________________ Effective February 9, 1989...