SEC Rules Content

[11231] September 10, 1999 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 11-99 SEC RULES COMMITTEE No. 66-99 RE: FEDERAL RESERVE BANK OF NEW YORK ANNOUNCES MEASURES TO INCREASE LIQUIDITY AT YEAR-END ______________________________________________________________________________ The...

1 NASD Notice to Members – Request for Comment 99-79 (Sept. 1999) (“Notice”). 2 NASD Regulation Request for Comment 98-81 (Oct. 1998). See Memorandum to Advertising Compliance Subcommittee No. 41-98, SEC Rules Committee No. 104-98 (transmitting Institute comment letter on 98-81). 3...

[11226] September 8, 1999 TO: OPERATIONS COMMITTEE No. 35-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 80-99 SEC RULES COMMITTEE No. 64-99 SMALL FUNDS COMMITTEE No. 12-99 TRANSFER AGENT ADVISORY COMMITTEE No. 56-99 TECHNOLOGY TASK FORCE MUTUAL FUND YEAR 2000 PROJECT LEADERS (Attendees of...

1 NASD Notice to Members 99-81 (September 1999) ("Notice"). 2 NASD Notice to Members 97-50 (August 1997). The Institute recommended at that time that NASDR continue to regulate cash compensation paid to broker-dealer firms through written disclosure requirements. We suggested that...

1 Extensions of Credit by Federal Reserve Banks, Federal Reserve System, 12 C.F.R. Part 201 (August 2, 1999). 2 See Memorandum to Accounting/Treasurers Committee No. 17-99, Money Market Funds Advisory Committee No. 7-99, and SEC Rules Committee No. 42-99, dated May 27, 1999. 3 This is...

1 Year 2000 Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents, Rel. No. 34-41661 (July 27, 1999); 64 Fed. Reg. 42012 (August 3, 1999). The Commission had proposed a series of rules that would have imposed permanent operational capability standards...

[11174] August 9, 1999 TO: BOARD OF GOVERNORS No. 52-99 INVESTMENT COMPANY DIRECTORS No. 9-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 76-99 SEC RULES COMMITTEE No. 60-99 RE: 1999 INVESTMENT COMPANY DIRECTORS CONFERENCE - PRELIMINARY PROGRAM ______________________________________________...

1 See Institute Memorandum to SEC Rules Committee No. 23-99 and Tax Committee No. 6-99 (among others), dated March 31, 1999. [11164] August 5, 1999 TO: SEC RULES COMMITTEE No. 59-99 TAX COMMITTEE No. 19-99 RE: SUBMISSIONS TO SEC STAFF ON AFTER-TAX RETURN CALCULATIONS _________________...

[11153] August 3, 1999 TO: OPERATIONS COMMITTEE No. 29-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 73-99 SEC RULES COMMITTEE No. 58-99 SMALL FUNDS COMMITTEE No. 10-99 TRANSFER AGENT ADVISORY COMMITTEE No. 48-99 TECHNOLOGY TASK FORCE MUTUAL FUND YEAR 2000 PROJECT LEADERS (See Attached...

1[11147] July 30, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 24-99 BROKER/DEALER ADVISORY COMMITTEE No. 20-99 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-99 COMPLIANCE ADVISORY COMMITTEE No. 31-99 EQUITY MARKETS ADVISORY COMMITTEE No. 27-99 FIXED-INCOME ADVISORY COMMITTEE No. 4...