February 10, 1989 TO: SEC RULES MEMBERS NO. 10-89 UNIT INVESTMENT TRUST MEMBERS NO. 13-89 CLOSED-END FUND MEMBERS NO. 9-89 RE: SEC NO ACTION LETTER REGARDING STRIPPED COUPON MUNICIPAL SECURITIES __________________________________________________________ The Municipal Securities...

- 1 - February 10, 1989 TO: SEC RULES MEMBERS NO. 11-89 OPTIONS AND FUTURES TASK FORCE NO. 1-89 RE: SEC AND CFTC RELEASES REGARDING DISCLOSURE BY ISSUERS AND OPERATORS OF COMMODITY POOLS __________________________________________________________ The SEC and CFTC have issued...

February 10, 1989 TO: PENSION MEMBERS NO. 9-89 RE: IRS INFORMATION LETTER ON SECTION 401(k) HARDSHIP WITHDRAWALS __________________________________________________________ Under section 401(k)(2)(B)(i)(IV) of the Internal Revenue Code and the proposed regulations thereunder, for plan...

February 10, 1989 TO: DIRECT MARKETING COMMITTEE NO. 5-89 PUBLIC INFORMATION COMMITTEE NO. 2-89 SALES FORCE MARKETING COMMITTEE NO. 4-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 3-89 RE: IRA Promotion __________________________________________________________ During our recent...

February 10, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 9-89 RE: 1. REMINDER NOTICE OF BROKER/DEALER ADVISORY COMMITTEE MEETINGS - FEBRUARY 28 & MARCH 1, 1989 2. DINNER - FEBRUARY 28, 1989 __________________________________________________________ This is to remind you that a two...

February 10, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 3-89 CLOSED-END FUND MEMBERS NO. 8-89 INVESTMENT ADVISER MEMBERS NO. 10-89 SEC RULES MEMBERS NO. 9-89 UNIT INVESTMENT TRUST MEMBERS NO. 12-89 RE: SUMMARY OF SEC NO-ACTION AND INTERPRETIVE LETTERS - SERIES 44 _________________________...

February 10, 1989 TO: PENSION MEMBERS NO. 8-89 RE: IRS PROVIDES SAFE HARBORS FOR SECTION 403(b)(12) NONDISCRIMINATION RULES __________________________________________________________ As you know, the 1986 Tax Reform Act added to the Internal Revenue Code nondiscrimination rules with...

February 10, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 11-89 SEC RULES COMMITTEE NO. 13-89 UNIT INVESTMENT TRUST COMMITTEE NO. 7-89 RULE 144A SUBCOMMITTEE RE: ICI FILES COMMENT LETTER ON PROPOSED RULE 144A __________________________________________________________ The Institute has...

February 9, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 10-89 RE: INSTITUTE COMMENTS ON PROPOSED NEW JERSEY PERFORMANCE FEE RULE __________________________________________________________ On February 1, 1989, the Institute submitted a comment letter to the New Jersey Securities...

February 9, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 8-89 RE: INSTITUTE SUBMITS COMMENT LETTER TO IDAHO CONCERNING PROPOSED INVESTMENT ADVISER DEFINITION __________________________________________________________ In the attached letter, the Institute comments on the proposed...