SEC Rules Content

1 See Memorandum to Board of Governors No. 26-98, Closed-End Investment Company Members No. 13-98, and SEC Rules Members No. 33-98, dated May 12, 1998. 2 See Strougo v. Padegs, 964 F.Supp. 783 (S.D.N.Y. 1997). This decision held that, for purposes of Maryland law, receipt of directors...

1[11620] February 9, 2000 TO: ACCOUNTING/TREASURERS COMMITTEE No. 6-00 SEC RULES COMMITTEE No. 20-00 SECURITIES OPERATIONS SUBCOMMITTEE RE: REQUEST FOR COMMENT ON EXPOSURE DRAFT OF THE BOND MARKET ASSOCIATION'S REVISED MASTER SECURITIES LOAN AGREEMENT _________________________________...

1 See SEC Rel. No. 34-42340 (Jan. 13, 2000), 65 Fed. Reg. 3510 (Jan. 21, 2000). 2 SEC Rel. No. 34-40074 (June 4, 1998), 63 Fed. Reg. 32690 (June 15, 1998). See also Memorandum to Advertising Compliance Subcommittee No. 27-98 and SEC Rules Committee No. 59-98, dated June 18, 1998. 3...

[11613] February 7, 2000 TO: SEC RULES COMMITTEE No. 18-00 RE: DRAFT AGENDA FOR FEBRUARY 15TH MEETING ______________________________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for Tuesday, February 15th at...

1 Securities Exchange Act Release No. 42353 (January 20, 2000), 65 FR 4857 (February 1, 2000). 2 The ITS is a communication network designed to facilitate intermarket trading in exchange-listed securities by linking the NASD and the national securities exchanges. Under the current ITS...

1 Securities Exchange Act Release No. 42344 (January 14, 2000), 65 FR 3987 (January 25, 2000). 2 SOES currently permits the automatic execution of retail agency orders of 200, 500, or 1,000 shares at the inside market. 3 The reserve size feature of NNMS will allow an NNMS market maker...

1 Securities Exchange Act Release No. 42360 (January 28, 2000). 2 The order states that six months is the maximum time period for phasing in decimal pricing and that after discussions with the industry, the SEC believes that six months provides adequate time for the exchanges and the...

[11591] January 28, 2000 TO: SEC RULES COMMITTEE No. 14-00 RE: RULES PROPOSED BY FEDERAL BANK REGULATORS TO IMPLEMENT FEDERAL LEGISLATION RELATING TO FINANCIAL HOLDING COMPANIES AND FINANCIAL SUBSIDIARIES OF A NATIONAL BANK _____________________________________________________________...

[11565] January 21, 2000 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 2-00 BROKER/DEALER ASSOCIATE MEMBERS No. 2-00 COMPLIANCE ADVISORY COMMITTEE No. 4-00 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 2-00 CONTINUING EDUCATION/TRAINING MEMBERS No. 2-00 DIRECT MARKETING...

[11559] January 20, 2000 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 1-00 BROKER/DEALER ASSOCIATE MEMBERS No. 1-00 COMPLIANCE ADVISORY COMMITTEE No. 3-00 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 1-00 CONTINUING EDUCATION/TRAINING MEMBERS No. 1-00 DIRECT MARKETING...