SEC Rules Content

1 Securities Exchange Act Release No. 42325 (January 10, 2000), 65 FR 2656 (January 18, 2000) (“Proposing Release”). 2 The current Interpretation defines a “hot issue” as any security that trades “at a premium” whenever secondary market trading begins. The NASD and the SEC have stated...

* See Memorandum to Closed-End Investment Company Committee No. 44-99, Investment Advisers Committee No. 16- 99, Operations Committee No. 43-99, SEC Rules Committee No. 96-99, Small Funds Committee No. 18-99, Transfer Agent Advisory Committee No. 70-99, and Unit Investment Trust...

* See Memorandum to Investment Advisers Committee No. 18-99 and SEC Rules Committee No. 107-99, dated December 20, 1999. [11555] January 18, 2000 TO: INVESTMENT ADVISERS COMMITTEE No. 3-00 SEC RULES COMMITTEE No. 10-00 RE: INSTITUTE COMMENTS ON THE SEC'S PROPOSAL TO EXCLUDE CERTAIN...

[11551] January 13, 2000 TO: BOARD OF GOVERNORS No. 4-00 INVESTMENT COMPANY DIRECTORS No. 1-00 PRIMARY CONTACTS - MEMBER COMPLEX No. 3-00 SEC RULES COMMITTEE No. 8-00 RE: WORKSHOP FOR NEW FUND DIRECTORS - APRIL 14TH, 2000 _______________________________________________________________...

[11543] January 11, 2000 TO: ACCOUNTING/TREASURERS MEMBERS No. 2-00 SEC RULES COMMITTEE No. 6-00 RE: ISB ISSUES FINAL STANDARD ON MUTUAL FUND AUDITS ______________________________________________________________________________ The Independence Standards Board recently issued...

1 To access the Preliminary Views on the FASB web site, first select Publications, then select Exposure Drafts. [11540] January 11, 2000 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-00 SEC RULES COMMITTEE No. 4-00 RE: FASB ISSUES PRELIMINARY VIEWS ON REPORTING FINANCIAL INSTRUMENTS AT...

[11545] January 11, 2000 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 2-00 SEC RULES COMMITTEE No. 7-00 RE: INSTITUTE COMMENT LETTER ON NASDAQ ORDER DISPLAY FACILITY ______________________________________________________________________________ The Institute has filed a comment letter...

1 Securities Exchange Act Release No. 42266 (December 22, 1999), 64 FR 73389 (December 30, 1999) (“Release”). 2 Securities Exchange Act Release No. 42233 (December 14, 1999), 64 FR 71529 (December 21, 1999). 3 Securities Exchange Act Release No. 42231 (December 14, 1999), 64 FR 71523...

1 Securities Exchange Act Release No. 42208 (December 9, 1999), 64 FR 70613 (December 17, 1999) (“Release”). [11532] January 7, 2000 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 1-00 SEC RULES COMMITTEE No. 3-00 RE: SEC ISSUES CONCEPT RELEASE ON THE REGULATION OF MARKET INFORMATION FEES...

1 See Memorandum to Accounting/Treasurers Committee No. 41-99, SEC Rules Committee No. 90-99, dated November 2, 1999. [11516] January 4, 2000 TO: ACCOUNTING/TREASURERS COMMITTEE No. 1-00 SEC RULES COMMITTEE No. 2-00 RE: ICI COMMENT LETTER ON ISB AUDIT FIRM STRUCTURE PROPOSAL _________...