Closed-End Investment Company Content

1 NASD Notice to Members – Request for Comment 99-79 (Sept. 1999) (“Notice”). 2 NASD Regulation Request for Comment 98-81 (Oct. 1998). See Memorandum to Advertising Compliance Subcommittee No. 6-99, Closed-End Investment Company Committee No. 5-99, SEC Rules Committee No. 12-99...

1 NASD Notice to Members 99-81 (September 1999) ("Notice"). 2 NASD Notice to Members 97-50 (August 1997). The Institute recommended at that time that NASDR continue to regulate cash compensation paid to broker-dealer firms through written disclosure requirements. We suggested that...

1 See Memorandum to Closed-End Investment Company Committee No. 25-99, dated August 17, 1999. 2 Securities Exchange Act Release No. 41648 (July 26, 1999), 64 FR 41986 (August 2, 1999). [11203] August 24, 1999 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-99 RE: INSTITUTE COMMENT...

1 Krantz v. Prudential Investments Fund Management LLC , Civ. Action No. 98-3722 (S.D.N.J. July 30, 1999) (order granting motion to dismiss). 2 Krantz v. Prudential Investments Fund Management LLC , Civ. Action No. 98-3722 (S.D.N.J. June 10, 1999) (report and recommendation). [11199]...

1 Securities Exchange Act Release No. 41648 (July 26, 1999), 64 FR 41986 (August 2, 1999), a copy of which is attached. 2 The SEC recently approved a codification of the NYSE's initial listing standard for closed-end funds with less than three years of operating history. See...

1 Year 2000 Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents, Rel. No. 34-41661 (July 27, 1999); 64 Fed. Reg. 42012 (August 3, 1999). The Commission had proposed a series of rules that would have imposed permanent operational capability standards...

1[11147] July 30, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 24-99 BROKER/DEALER ADVISORY COMMITTEE No. 20-99 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-99 COMPLIANCE ADVISORY COMMITTEE No. 31-99 EQUITY MARKETS ADVISORY COMMITTEE No. 27-99 FIXED-INCOME ADVISORY COMMITTEE No. 4...

[11093] July 1, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 21-99 BROKER/DEALER ADVISORY COMMITTEE No. 17-99 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 22-99 COMPLIANCE ADVISORY COMMITTEE No. 27-99 EQUITY MARKETS ADVISORY COMMITTEE No. 25-99 FIXED-INCOME ADVISORY COMMITTEE No. 2-99...

[11086] June 29, 1999 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 21-99 SEC RULES COMMITTEE No. 49-99 SMALL FUNDS COMMITTEE No. 7-99 SECURITIES OFFERINGS RULES TASK FORCE RE: INSTITUTE COMMENT LETTER ON PROPOSALS REGARDING THE REGULATION OF SECURITIES OFFERINGS ___________________...

1[11054] June 16, 1999 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-99 SEC RULES COMMITTEE No. 46-99 SMALL FUNDS COMMITTEE No. 5-99 SECURITIES OFFERINGS RULES TASK FORCE RE: DRAFT COMMENT LETTER ON SEC PROPOSALS REGARDING THE REGULATION OF SECURITIES OFFERINGS ("AIRCRAFT CARRIER...