February 9, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 8-89 FUND/SERV PARTICIPANTS RE: PENDING BROKER REGISTRATION/FUND ACKNOWLEDGMENT STATUS REPORT __________________________________________________________ Attached is a copy of the Registration Status Report as of January 31...

February 14, 1989 TO: PUBLIC INFORMATION COMMITTEE NO. 1-89 RE: Minutes of Meeting Held January 19 __________________________________________________________ Attached are the minutes of the meeting of the Public Information Committee held on January 19, 1989 in San Francisco. The next...

February 9, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 9-89 RE: INSTITUTE TESTIFIES IN MARYLAND CONCERNING PROPOSED INVESTMENT ADVISER LEGISLATION __________________________________________________________ On February 8, 1989, the Institute testified before the Maryland House Economic...

February 9, 1989 T O: INVESTMENT ADVISER MEMBERS NO. 9-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 9-89 R E: SERIES 65 LAW EXAMINATION APPLICANTS MUST FILE REQUESTS ON FORM U-10 __________________________________________________________ As you will recall, the North American...

- 1 - February 8, 1989 TO: PENSION MEMBERS NO. 7-89 RE: IRS TO BEGIN REVIEW OF MASTER AND PROTOTYPE PLAN AMENDMENTS __________________________________________________________ Attached is a copy of Revenue Procedure 89-9, which describes the procedures for IRS issuance of opinion...

February 7, 1989 TO: STATE SECURITIES MEMBERS NO. 6-89 BLUE SKY GUIDE RECIPIENTS RE: REMINDER - 1989 BLUE SKY COMPLIANCE WORKSHOPS __________________________________________________________ As you know, the Institute is holding a series of workshops on Blue Sky Compliance for members...

February 7, 1989 TO: SEC RULES MEMBERS NO. 8-89 RE: 17j-1 CODES OF ETHICS FOR FUNDS THAT INVEST IN EXEMPT SECURITIES __________________________________________________________ Attached is a copy of the response of the Division of Investment Management to a request for interpretive...

February 6, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 7-89 SEC RULES COMMITTEE NO. 11-89 UNIT INVESTMENT TRUST COMMITTEE NO. 6-89 RE: NASD PROPOSAL TO RESTRICT PAYMENT OF REFERRAL FEES __________________________________________________________ As we previously informed you, the NASD...

February 6, 1989 TO: SEC RULES COMMITTEE NO. 12-89 RE: SEC PROPOSES CHANGES TO THE OWNERSHIP REPORTING REQUIREMENTS UNDER SECTION 16 OF THE SECURITIES EXCHANGE ACT OF 1934 __________________________________________________________ Section 16(a) of the Securities Exchange Act of 1934...

February 6, 1989 TO: CLOSED-END FUND COMMITTEE NO. 3-89 SEC RULES COMMITTEE NO. 10-89 UNIT INVESTMENT TRUST COMMITTEE NO. 5-89 ACCOUNTING/TREASURERS COMMITTEE NO. 9-89 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: FASB AGREES ON LANGUAGE OF FINAL STATEMENT AMENDING SFAS NO. 95 __________...