January 11, 1989 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 1-89 RE: NOVEMBER 17 MEETING __________________________________________________________ Attached is a tentative agenda for the November 17 meeting of the Unit Investment Trust Committee. The meeting will start at 10:00 a.m. and...

- 1 - January 10, 1989 TO: BOARD OF GOVERNORS NO. 2-89 STATE SECURITIES MEMBERS NO. 1-89 BLUE SKY GUIDE RECIPIENTS RE: BACK BY POPULAR DEMAND - 1988 BLUE SKY COMPLIANCE WORKSHOPS __________________________________________________________ As you may remember, the Institute held a...

January 9, 1989 TO: SEC RULES COMMITTEE NO. 2-89 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 fees to unregistered...

January 9, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 4-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 4-89 RE: NASD PROPOSAL TO RESTRICT PAYMENT OF REFERRAL FEES __________________________________________________________ Attached is a NASD Notice to Members concerning a proposed rule that...

January 9, 1989 TO: BOARD OF GOVERNORS NO. 1-89 MARKETING COMMITTEE NO. 1-89 DIRECT MARKETING COMMITTEE NO. 1-89 SALES FORCE MARKETING COMMITTEE NO. 1-89 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 1-89 OPERATIONS COMMITTEE NO. 1-89 RESEARCH COMMITTEE NO. 1-89 SMALL FUNDS COMMITTEE NO. 1...

- 1 - January 9, 1989 TO: TAX MEMBERS NO. 4-89 OPERATIONS MEMBERS NO. 6-89 UNIT INVESTMENT TRUST MEMBERS NO. 4-89 CLOSED-END FUND MEMBERS NO. 5-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 4-89 ACCOUNTING/TREASURERS COMMITTEE NO. 5-89 RE: IRS REVENUE PROCEDURE FOR PRODUCING...

January 6, 1989 TO: INVESTMENT ADVISER MEMBERS NO. 3-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 3-89 RE: ADVISER CHARGED WITH INSIDER TRADING; INSTITUTE HOLDS SEMINAR ON INSIDER TRADING __________________________________________________________ On December 28, 1988, the SEC brought...

January 6, 1989 TO: PENSION MEMBERS NO. 1-89 TAX MEMBERS NO. 3-89 OPERATIONS MEMBERS NO. 4-89 UNIT INVESTMENT TRUST MEMBERS NO. 3-89 CLOSED-END FUND MEMBERS NO. 4-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 3-89 ACCOUNTING/TREASURERS COMMITTEE NO. 4-89 RE: IRS REVENUE...

January 6, 1989 TO: TAX MEMBERS NO. 1-89 OPERATIONS MEMBERS NO. 2-89 UNIT INVESTMENT TRUST MEMBERS NO. 1-89 CLOSED-END FUND MEMBERS NO. 2-89 TRANSFER AGENT SHAREHOLDER ADVISORY COMMITTEE NO. 1-89 ACCOUNTING/TREASURERS COMMITTEE NO. 2-89 RE: IRS ANNOUNCEMENT ON FORM 1042S MAGNETIC...

January 6, 1989 TO: MEMBERS - ONE PER COMPLEX NO. 1-89 CLOSED-END FUND MEMBERS NO. 1-89 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 2-89 INVESTMENT ADVISER MEMBERS NO. 2-89 OPERATIONS MEMBERS NO. 1-89 SEC RULES MEMBERS NO. 1-89 ACCOUNTING/TREASURERS COMMITTEE NO. 1-89 BROKER/DEALER...