SEC Rules Content

1 See Memorandum to Advertising Compliance Advisory Committee No. 17-99 and SEC Rules Committee No. 65-99, dated September 10, 1999, and Memorandum to Unit Investment Trust Committee No. 20-99 and Closed-End Investment Company Committee No. 29-99, dated September 15, 1999...

1 See Memorandum to Accounting/Treasurers Committee No. 30-99, SEC Rules Committee No. 71-99, dated September 23, 1999. [11363] October 29, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 40-99 SEC RULES COMMITTEE No. 85-99 RE: ICI COMMENT LETTER ON ISB AUDITOR INDEPENDENCE PROPOSAL ____...

1 Three of the four Working Groups issued their final reports (Investor Protection and Education, Clearance and Settlement and Operations Issues, and Trading Conventions). These reports are available for public comment on the NASD and NYSE web sites. The Working Group on Options...

1 Securities Exchange Act Release Nos. 42003 (October 13, 1999) and 42004 (October 13, 1999). 1 [11331] October 21, 1999 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 35-99 SEC RULES COMMITTEE No. 84-99 RE: SEC APPROVES EXTENSION OF NASDAQ TRADE REPORTING SERVICES AND AFTER-HOURS TRADING...

1 Securities Exchange Act Release Nos. 41987 (October 7, 1999) 64 FR 55648 (October 14, 1999); 41981 (October 6, 1999) 64 FR 55505 (October 13, 1999); 41982 (October 6, 1999) 64 FR 55510 (October 13, 1999); and 41980 (October 6, 1999), 64 FR 55514 (October 13, 1999). Auditing...

* See Memorandum to Advertising Compliance Advisory Committee No. 17-99, SEC Rules Committee No. 65-99, Unit Investment Trust Committee No. 20-99, and Closed-End Investment Company Committee No. 29-99 (transmitting NASD Notice to Members – Request for Comment 99-79). [11327] October...

1 See Memorandum to Accounting/Treasurers Committee No. 30-99, SEC Rules Committee No. 71-99, dated September 23, 1999. [11324] October 20, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 35-99 SEC RULES COMMITTEE No. 80-99 RE: DRAFT ICI COMMENT LETTER ON AUDITOR INDEPENDENCE ___________...

1 See Memorandum to Board of Governors No. 61-99, Equity Markets Advisory Committee No. 30-99, and SEC Rules Committee No. 72-99, dated September 30, 1999. 1 [11319] October 19, 1999 TO: BOARD OF GOVERNORS No. 62-99 EQUITY MARKETS ADVISORY COMMITTEE No. 33-99 SEC RULES COMMITTEE No...

[11318] October 19, 1999 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-99 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-99 COMPLIANCE ADVISORY COMMITTEE No. 41-99 EQUITY MARKETS ADVISORY COMMITTEE No. 32-99 FIXED-INCOME ADVISORY COMMITTEE No. 7-99 OPERATIONS COMMITTEE No. 38-99 PRIMARY...

1 SEC Release No. IC-24082 (October 14, 1999) (“Proposing Release”). 2 SEC Release No. IC-24083 (October 14, 1999) (“Interpretive Release”). [11320] October 19, 1999 TO: BOARD OF GOVERNORS No. 63-99 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-99 DIRECTOR SERVICES COMMITTEE No. 25...