February 6, 1989 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 7-89 RE: NETWORKING PACKAGE #16 __________________________________________________________ Attached is Networking Package #16 from Steve Tunney of the National Securities Clearing Corporation. We will continue to distribute...

February 6, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 2-89 SEC RULES MEMBERS NO. 7-89 INVESTMENT ADVISER MEMBERS NO. 8-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 8-89 CLOSED-END FUND MEMBERS NO. 7-89 RE: DRAFTING GUIDE FOR POLICY AND PROCEDURES DESIGNED TO DETECT AND PREVENT INSIDER...

February 3, 1989 TO: BOARD OF GOVERNORS NO. 7-89 MARKETING COMMITTEE NO. 3-89 DIRECT MARKETING COMMITTEE NO. 4-89 SALES FORCE MARKETING COMMITTEE NO. 3-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 2-89 OPERATIONS COMMITTEE NO. 4-89 RESEARCH COMMITTEE NO. 2-89 SMALL FUNDS COMMITTEE NO...

February 3, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 6-89 RE: COMMENT LETTERS CONCERNING SEC PROPOSAL TO EXEMPT CERTAIN SMALL INVESTMENT ADVISERS __________________________________________________________ As you recall, the SEC has proposed two rules that would expand the...

February 3, 1989 TO: DIRECT MARKETING COMMITTEE NO. 3-89 RE: Minutes of Meeting Held January 19 __________________________________________________________ Attached are the minutes of the meeting of the Direct Marketing Committee on January 19, 1989 in San Francisco. Our next meeting...

February 2, 1989 TO: PENSION MEMBERS NO. 6-89 INVESTMENT ADVISER MEMBERS NO. 6-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 6-89 RE: JOINT STATEMENT OF LABOR AND TREASURY DEPARTMENTS ON PLAN INVESTMENTS SUBJECT TO TENDER OFFERS AND MERGER PROPOSALS _____________________________________...

February 2, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 7-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 7-89 RE: SEC SANCTIONS ADVISER FOR VIOLATIONS OF PERFORMANCE ADVERTISING RULES __________________________________________________________ On December 27, 1988, the Securities and Exchange...

February 2, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 5-89 RE: INSTITUTE COMMENTS ON NEW YORK PROPOSED LEGISLATION __________________________________________________________ As you may recall, a number of investment adviser legislative proposals have been introduced in the New York...

February 2, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 4-89 RE: INSTITUTE COMMENTS ON GEORGIA PROPOSED INVESTMENT ADVISER RULES __________________________________________________________ As you know, the Institute has been actively involved in the development of the Georgia rules...

February 1, 1989 TO: PENSION MEMBERS NO. 5-89 RE: COST-OF-LIVING ADJUSTMENTS TO SECTION 415 AND RELATED LIMITATIONS __________________________________________________________ Attached is a copy of IRS News Release 89-10, which provides for cost-of-living adjustments to the limitations...