SEC Rules Content

[11294] October 6, 1999 TO: SEC RULES COMMITTEE No. 75-99 RE: DRAFT AGENDA FOR OCTOBER 21st MEETING ______________________________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for Thursday, October 21st at 10...

[11295] October 6, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 34-99 SEC RULES COMMITTEE No. 76-99 RE: MEETING ON EXTENDED HOURS TRADING - OCTOBER 20, 1999 ______________________________________________________________________________ The Institute has scheduled a special meeting for...

* See Memorandum to Closed-End Investment Company Committee No. 28-99, SEC Rules Committee No. 63-99 and Unit Investment Trust Committee No. 19-99, dated September 7, 1999. [11287] October 1, 1999 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-99 SEC RULES COMMITTEE No. 74-99 UNIT...

1 Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities, Rel. No. IC- 24050 (Dec. 23, 1999). 2 Section 5(b)(1) limits the amount that a diversified fund may invest in the securities of any one issuer (other than the U.S. Government)...

* Dynamic Markets, Timeless Principles, Remarks by Chairman Arthur Levitt, U.S. Securities and Exchange Commission, Columbia Law School, New York, N.Y., September 23, 1999 (available at http://www.sec.gov/news/speeches). [11280] September 30, 1999 TO: BOARD OF GOVERNORS No. 61-99...

1 The Independence Standards Board is a private standard setting body established in 1997 as the result of an agreement between the AICPA and the SEC. Its mission is to develop concepts, principles and standards relating to the independence of auditors of public companies. [11267]...

[11264] September 23, 1999 TO: BOARD OF GOVERNORS No. 59-99 INVESTMENT COMPANY DIRECTORS No. 10-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 86-99 SEC RULES COMMITTEE No. 70-99 RE: 1999 INVESTMENT COMPANY DIRECTORS CONFERENCE - FINAL PROGRAM _______________________________________________...

1 Review of the Commission’s Regulations Governing Attribution Ownership Rule, FCC 99-207 (MM Docket Nos. 94-150, 92-51, and 87- 154), 64 Fed. Reg. 50622 (Sept. 17, 1999) (summarizing the Commission’s Report and Order, FCC 99-207, Aug. 5, 1999) (the “Release”). 2 See Memorandum to...

[11248] September 15, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 29-99 BROKER/DEALER ADVISORY COMMITTEE No. 25-99 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-99 COMPLIANCE ADVISORY COMMITTEE No. 35-99 EQUITY MARKETS ADVISORY COMMITTEE No. 29-99 FIXED-INCOME ADVISORY COMMITTEE No...

[11242] September 14, 1999 TO: SEC RULES COMMITTEE No. 67-99 RE: NOTICE OF MEETING - OCTOBER 21ST ______________________________________________________________________________ A meeting of the SEC Rules Committee has been scheduled for Thursday, October 21, 1999 at the offices of the...