SEC Rules Content

[11825] April 19, 2000 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 26-00 SEC RULES COMMITTEE No. 61-00 RE: SEC TO HOLD ROUNDTABLE ON LIMIT ORDER TRANSPARENCY ______________________________________________________________________________ The Securities and Exchange Commission has...

[11821] April 17, 2000 TO: ACCOUNTING/TREASURERS COMMITTEE No. 16-00 SEC RULES COMMITTEE No. 60-00 TAX COMMITTEE No. 18-00 RE: AGENDA FOR APRIL 25TH MEETING ON SEC AFTER-TAX RETURN PROPOSAL ______________________________________________________________________________ Attached is an...

* The Institute, together with the Maryland Securities Association and Alliance Capital Management, submitted a brief as amici curiae urging the Maryland Court of Appeals to affirm the constitutionality of the 1998 law. See Memorandum to Board of Governors No. 8-00, Closed-End...

1 NASD Notice to Members 00-23 (April 2000). 2 See Memorandum to SEC Rules Members No. 18-00 and Unit Investment Trust Members No. 4-00, dated March 10, 2000 (transmitting SEC Release No. 34-42476 approving the NASD rule changes). See also Memorandum to Advertising Compliance Advisory...

[11805] April 12, 2000 TO: SEC RULES COMMITTEE No. 57-00 RE: LETTER TO SEC REGARDING STAFF'S CONSIDERATION OF PROFILE TO SUPPORT ADDITIONAL INVESTMENTS BY EXISTING SHAREHOLDERS ______________________________________________________________________________ In his remarks at the Mutual...

* SEC Release No. 34-42601 (March 30, 2000), 65 FR 18405 (April 7, 2000). [11803] April 12, 2000 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-00 SEC RULES COMMITTEE No. 56-00 RE: NASD PROPOSED RULE CHANGE RELATING TO INTERVAL FUNDS _______________________________________________...

1 Securities Exchange Act Release No. 42573 (March 23, 2000), 65 FR 16981 (March 30, 2000) (“Release”). 2 In its original proposal, Nasdaq proposed enhancing the Nasdaq quotation montage and Nasdaq's main trading platform - the Nasdaq National Market System (“NNMS”). In particular...

1 See Memorandum to Equity Markets Advisory Committee No. 1-00 and SEC Rules Committee No. 3-00, dated January 7, 2000. [11777] April 4, 2000 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 23-00 SEC RULES COMMITTEE No. 54-00 RE: INSTITUTE COMMENT LETTER ON SEC CONCEPT RELEASE REGARDING THE...

1 See Memorandum to SEC Rules Committee No. 35-00, dated March 8, 2000. [11778] April 4, 2000 TO: SEC RULES COMMITTEE No. 52-00 RE: INSTITUTE COMMENT LETTER ON EDGAR RULES CHANGES ______________________________________________________________________________ As we previously informed...

1 See Memorandum to Equity Markets Advisory Committee No. 14-00 and SEC Rules Committee No. 36-00, dated March 9, 2000. [11776] April 4, 2000 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 22-00 SEC RULES COMMITTEE No. 53-00 RE: INSTITUTE COMMENT LETTER ON OPTIONS MARKETS LINKAGES ________...