SEC Rules Content

[11513] January 4, 2000 TO: SEC RULES COMMITTEE No. 1-00 RE: NOTICE OF MEETING -- FEBRUARY 15, 2000 ______________________________________________________________________________ A meeting of the SEC Rules Committee has been scheduled for Tuesday, February 15, 2000 at the offices of...

[11506] December 31, 1999 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 53-99 INVESTMENT ADVISERS COMMITTEE No. 21-99 SEC RULES COMMITTEE No. 115-99 UNIT INVESTMENT TRUST COMMITTEE No. 34-99 RE: SEC SEMI-ANNUAL REGULATORY AGENDA ______________________________________________________...

1 Securities Exchange Act Release No. 42212 (December 9, 1999), 64 FR 70297 (December 16, 1999). 2 Current signatories to the ITS Plan include the American Stock Exchange, Boston Stock Exchange, Chicago Board Options Exchange, Chicago Stock Exchange, Cincinnati Stock Exchange...

1 Securities Act Release No. 7787 (December 20, 1999), 64 FR 72590 (December 28, 1999) (“Release”). A copy of the Release is attached. [11500] December 29, 1999 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 52-99 EQUITY MARKETS ADVISORY COMMITTEE No. 41-99 SEC RULES COMMITTEE No...

[11496] December 28, 1999 TO: PENSION MEMBERS No. 51-99 PENSION OPERATIONS ADVISORY COMMITTEE No. 61-99 RE: IRS ANNOUNCEMENT REGARDING SECTION 457 PLAN REPORTING ______________________________________________________________________________ The Internal Revenue Service has released...

* See Memorandum to Closed-End Investment Company Committee No. 35-99, Director Services Committee No. 25-99 and SEC Rules Committee No. 79-99, dated October 19, 1999 and Memorandum to Small Funds Committee No. 15-99, dated October 22, 1999. [11498] December 29, 1999 TO: CLOSED-END...

* 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...

[11486] December 22, 1999 TO: BANK AND TRUST ADVISORY COMMITTEE No. 33-99 BROKER/DEALER ADVISORY COMMITTEE No. 37-99 OPERATIONS COMMITTEE No. 48-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 111-99 SEC RULES COMMITTEE No. 108-99 SMALL FUNDS MEMBERS No. 20-99 TRANSFER AGENT ADVISORY...

1 See Memorandum to SEC Rules Committee No. 99-99, dated November 22, 1999. [11490] December 22, 1999 TO: SEC RULES COMMITTEE No. 109-99 SEC PRIVACY RULES WORKING GROUP RE: INSTITUTE MAKES RECOMMENDATIONS TO SEC FOR PRIVACY RULEMAKING __________________________________________________...

* See Memorandum to Investment Adviser Members No. 25-99, SEC Rules Members No. 67-99 and Investment Adviser Associate Members No. 28-99, dated November 8, 1999. [11482] December 20, 1999 TO: INVESTMENT ADVISERS COMMITTEE No. 18-99 SEC RULES COMMITTEE No. 107-99 RE: INSTITUTE DRAFT...