SEC Rules Content

[11692] March 3, 2000 TO: SEC RULES COMMITTEE No. 30-00 RE: DRAFT LETTER TO SEC REGARDING ANNUAL PROSPECTUS UPDATES ______________________________________________________________________________ At the last committee meeting, we discussed the SEC staff’s consideration of an “annual...

1 Securities Exchange Act Release No. 42434 (February 16, 2000), 65 FR 10139 (February 25, 2000). 2 Securities Exchange Act Release No. 42233 (December 14, 1999), 64 FR 71529 (December 21, 1999). [11694] March 3, 2000 TO: ACCOUNTING/TREASURERS COMMITTEE No. 10-00 CLOSED-END INVESTMENT...

[11686] March 2, 2000 TO: BOARD OF GOVERNORS No. 10-00 INVESTMENT COMPANY DIRECTORS No. 5-00 PRIMARY CONTACTS - MEMBER COMPLEX No. 12-00 SEC RULES COMMITTEE No. 29-00 RE: WORKSHOP FOR NEW FUND DIRECTORS - APRIL 14, 2000 _________________________________________________________________...

* See Memorandum to Accounting/Treasurers Committee No. 6-00, SEC Rules Committee No. 20-00, and Securities Operations Subcommittee, dated February 9, 2000. 1 [11683] March 1, 2000 TO: ACCOUNTING/TREASURERS COMMITTEE No. 9-00 SEC RULES COMMITTEE No. 28-00 SECURITIES OPERATIONS...

[11676] February 28, 2000 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 8-00 BROKER/DEALER ASSOCIATE MEMBERS No. 3-00 COMPLIANCE ADVISORY COMMITTEE No. 13-00 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 4-00 CONTINUING EDUCATION/TRAINING MEMBERS No. 4-00 DIRECT...

1 Securities Exchange Act Release No. 42450 (February 23, 2000) (“Release”). 1 [11674] February 25, 2000 TO: COMPLIANCE ADVISORY COMMITTEE No. 12-00 EQUITY MARKETS ADVISORY COMMITTEE No. 9-00 SEC RULES COMMITTEE No. 26-00 RE: SEC ISSUES NYSE PROPOSED RULE CHANGE TO RESCIND RULE 390...

[11672] February 24, 2000 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 7-00 SEC RULES COMMITTEE No. 25-00 RE: ICI LETTER CONCERNING APPLICATION OF NASD RULES TO "INVERSE HYPERLINKS" _____________________________________________________________________________ A working group of...

1 Roumell v. Templeton Asset Management, et al. and Wetta v. Templeton Asset Management, et al., 98-6059-Civ-Hurley (S.D. Fl. Dec. 9, 1999). 2 Marquit v. Dobson, et al., 98 Civ. 9089 (JSM) (S.D.N.Y. Dec. 29, 1999). [11670] February 23, 2000 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE...

[11661] February 18, 2000 TO: SEC RULES COMMITTEE No. 23-00 RE: MUTUAL FUND PERFORMANCE ADVERTISING _____________________________________________________________________________ As discussed at the SEC Rules Committee meeting earlier this week, due to the very strong performance of...

* See Memorandum to SEC Rules Committee No. 14-00, dated January 28, 2000. [11636] February 15, 2000 TO: SEC RULES COMMITTEE No. 22-00 RE: INSTITUTE FILES COMMENT LETTER ON PROPOSED OCC REGULATIONS RELATING TO NATIONAL BANK SUBSIDIARIES; SOLICITS COMMITTEE MEMBER INTEREST IN ADVISORY...