March 1, 1989 TO: STATE SECURITIES MEMBERS NO. 8-89 INVESTMENT ADVISER MEMBERS NO. 14-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 13-89 BLUE SKY GUIDE RECIPIENTS INVESTMENT ADVISERS GUIDE RECIPIENTS RE: MICHIGAN INCREASES BROKER-DEALER AND INVESTMENT ADVISER FEES _____________________...

- 1 - March 1, 1989 TO: BOARD OF GOVERNORS NO. 14-89 CLOSED-END FUND MEMBERS NO. 13-89 STATE SECURITIES MEMBERS NO. 7-89 UNIT INVESTMENT TRUST MEMBERS NO. 18-89 RE: INSTITUTE DEFEATS WYOMING ATTEMPT TO PLACE FEE ON EXEMPTION __________________________________________________________...

March 1, 1989 TO: SEC RULES COMMITTEE NO. 14-89 OPTIONS AND FUTURES TASK FORCE NO. 2-89 RE: COMMODITY POOL OPERATORS __________________________________________________________ Attached are copies of releases published by the SEC and CFTC concerning performance disclosure by commodity...

February 27, 1989 TO: SEC RULES MEMBERS NO. 15-89 INTERNATIONAL FUNDS TASK FORCE NO. 1-89 RE: SEC NO ACTION UNDER SECTION 12(d)(1) OF THE 1940 ACT REGARDING FUND INVESTMENT IN CERTAIN SECURITIES OF FOREIGN BANKS __________________________________________________________ The SEC's...

February 24, 1989 TO: TAX MEMBERS NO. 8-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 5-89 RE: IRS ANNOUNCEMENT ON REPORTING FOREIGN PERSONS' U.S. SOURCE INCOME __________________________________________________________ The IRS has announced, in the attached release, that...

- 1 - February 23, 1989 TO: TAX MEMBERS NO. 7-89 ACCOUNTING/TREASURERS COMMITTEE NO. 11-89 RE: RECENTLY REVISED IRS FORMS AND INSTRUCTIONS __________________________________________________________ The Internal Revenue Service recently revised (1) the instructions for Form 1120-RIC...

February 22, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 13-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 12-89 RE: PROPOSED EC DIRECTIVE ON INVESTMENT SERVICES __________________________________________________________ The European Community Commission, representing the twelve- nation...

February 22, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 8-89 RE: NEW COMMITTEE ASSIGNMENTS __________________________________________________________ You may recall that we had previously discussed the advisability of having representatives of unit investment trusts on other ICI...

February 22, 1989 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 10-89 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: 1. NOTICE OF MEETING - MARCH 30, 1989 2. IMPORTANT DATES FOR 1989 - MARK YOUR CALENDAR _____________________________________________________________ 1. This is to advise you that...

- 1 - February 22, 1989 TO: TAX MEMBERS NO. 6-89 MONEY MARKET FUND CHIEF EXECUTIVE OFFICERS NO. 2-89 RE: VIRGINIA PASS-THROUGH REQUIREMENTS __________________________________________________________ Last spring, the Virginia Department of Taxation announced that Virginia would permit...