SEC Rules Content

1[11054] June 16, 1999 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-99 SEC RULES COMMITTEE No. 46-99 SMALL FUNDS COMMITTEE No. 5-99 SECURITIES OFFERINGS RULES TASK FORCE RE: DRAFT COMMENT LETTER ON SEC PROPOSALS REGARDING THE REGULATION OF SECURITIES OFFERINGS ("AIRCRAFT CARRIER...

*See Memorandum to Closed-End Investment Company Committee No. 4-97, Compliance Advisory Committee No. 6-97, SEC Rules Committee No. 22-97 and Unit Investment Trust Committee No. 12-97, dated February 25, 1997. [11049] June 14, 1999 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19...

[11031] June 3, 1999 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 20-99 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 12-99 INVESTMENT ADVISER MEMBERS No. 10-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 60-99 SEC RULES COMMITTEE No. 43-99 UNIT INVESTMENT TRUST MEMBERS No. 13-99 RE: SUMMARY OF...

* See Memoranda to Advertising Compliance Advisory Committee No. 19-99 and SEC Rules Committee No. 31-99, dated April 29, 1999. [11035] June 3, 1999 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 13-99 SEC RULES COMMITTEE No. 44-99 RE: INSTITUTE COMMENT LETTER ON NASDR DAY TRADING...

[11018] May 27, 1999 TO: SEC RULES COMMITTEE No. 41-99 RE: DRAFT AGENDA FOR JUNE 9TH MEETING ______________________________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for Wednesday, June 9th at 10:00 a.m. in...

1 Regulation A defines a “depository institution” as including, among other things, an insured bank, a savings bank or mutual savings bank, or a savings association, each as defined in Section 3 of the Federal Deposit Insurance Act, or an insured credit union, as defined in Section...

*See Memorandum to Advertising Compliance Advisory Committee No. 10-99 and SEC Rules Committee No. 31-99, dated April 29, 1999. [11000] May 20, 1999 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 11-99 SEC RULES COMMITTEE No. 40-99 RE: DRAFT COMMENT LETTER ON NASDR DAY TRADING...

[10995] May 19, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 19-99 OPERATIONS COMMITTEE No. 19-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 55-99 SEC RULES COMMITTEE No. 39-99 TRANSFER AGENT ADVISORY COMMITTEE No. 32-99 MONEY LAUNDERING TASK FORCE RE: INSTITUTE PAPER ON MONEY LAUNDERING...

1 In the Matter of Liberty Financial Companies, Inc. (File No. 982 3522) (May 6, 1999). 2 The notice must include a description of the types of information being collected, how the information is used or disclosed, and how a parent may obtain, upon request, the personal information...