January 31, 1989 TO: PENSION MEMBERS NO. 4-89 RE: 1989 IRS FORM 1099-R ____________________________________________________ Attached is a copy of the 1989 IRS Form 1099-R, Total Distributions from Profit-Sharing, Retirement Plans, Individual Retirement Arrangements, Insurance...

January 31, 1989 TO: UNIT INVESTMENT TRUST MEMBERS NO. 11-89 SEC RULES COMMITTEE NO. 9-89 RE: YIELD QUOTATION ON MARKET DISCOUNT MUNICIPAL BONDS __________________________________________________________ As we previously informed you, the Institute has filed a letter with the SEC...

@ 1 @ January 27, 1989 TO: SEC RULES MEMBERS NO. 6-89 RE: INSTITUTE RECEIVES NO-ACTION ASSURANCE FOR A NEW FUND TO ADVERTISE ITS AGGREGATE TOTAL RETURN THAN ITS ANNUALIZED TOTAL RETURN __________________________________________________________ The amendments to Securities Act Rule 482...

January 26, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 4-89 RE: NASD PROPOSAL TO RESTRICT PAYMENT OF REFERRAL FEES __________________________________________________________ Attached is an NASD notice to members concerning a proposed rule that would restrict payment of referral fees...

January 26, 1989 TO: SEC RULES MEMBERS NO. 4-89 STATE SECURITIES MEMBERS NO. 5-89 BROKER/DEALER ADVISORY COMMITTEE NO. 6-89 RE: IDAHO ISSUES RELEASE ON MUTUAL FUND WHOLESALERS __________________________________________________________ Attached is a recent release of the Idaho...

January 26, 1989 TO: PENSION MEMBERS NO. 3-89 RE: IRS NOTICE PROVIDING AUTOMATIC EXTENSIONS OF TIME WITH RESPECT TO 1986 TAX REFORM ACT AMENDMENTS __________________________________________________________ As you know, recent amendments to the regulations under section 401(b) of the...

@ 1 @ January 26, 1989 TO: SEC RULES MEMBERS NO. 5-89 ACCOUNTING/TREASURERS COMMITTEE NO. 8-89 RE: SEC ADOPTS FEE TABLE FOR VARIABLE ANNUITIES; PROVIDES GUIDANCE FOR THE PREPARATION OF MUTUAL FUND FEE TABLES __________________________________________________________ As we previously...

January 24, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 5-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 5-89 RE: NORTH CAROLINA ADOPTS TEMPORARY INVESTMENT ADVISER RULES __________________________________________________________ As of January 1, 1989, investment advisers and investment...

January 24, 1989 TO: SEC RULES COMMITTEE NO. 8-89 INVESTMENT ADVISERS COMMITTEE NO. 3-89 RULE 144A SUBCOMMITTEE RE: DRAFT COMMENT LETTER ON RULE 144A __________________________________________________________ Attached for your review is a draft comment letter developed as a result of...