SEC Rules Content

[10890] April 13, 1999 TO: OPERATIONS COMMITTEE No. 13-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 44-99 SEC RULES COMMITTEE No. 27-99 SMALL FUNDS COMMITTEE No. 4-99 TECHNOLOGY TASK FORCE ATTENDEES OF DECEMBER 9, 1998 AND EXPECTED ATTENDEES OF APRIL 28, 1999 Y2K PROJECT LEADERS MEETING...

1 SEC Rel. Nos. 33-7637; 34-41014; Int. Ser. Rel. No. 1182 (Feb. 3, 1999). A copy of the proposal is available on the Commission’s web site at www.sec.gov/rules/proposed/33-7637.txt. 2 IOSCO’s report, “International Disclosure Standards for CrossSBorder Offerings and Initial Listings...

[10877] April 7, 1999 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-99 SEC RULES COMMITTEE No. 25-99 SECURITIES OFFERINGS TASK FORCE RE: INSTITUTE COMMENT LETTERS ON THE REGULATION OF TAKEOVERS AND SECURITY HOLDER COMMUNICATIONS ___________________________________________________...

[10865] April 5, 1999 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 3-99 SEC RULES COMMITTEE No. 24-99 RE: BMA REPO TRADING PRACTICE GUIDELINE RELATING TO Y2K CONTINGENCY PLANNING ______________________________________________________________________________ The Bond Market...

[10848] March 31, 1999 TO: BOARD OF GOVERNORS No. 23-99 FEDERAL LEGISLATION MEMBERS No. 10-99 PRIMARY CONTACTS - MEMBER COMPLEX No. 34-99 PUBLIC INFORMATION COMMITTEE No. 12-99 SEC RULES COMMITTEE No. 23-99 TAX COMMITTEE No. 6-99 RE: REPRESENTATIVE GILLMOR INTRODUCES BILL REQUIRING...

1 The Commission expects to deal separately with a request it received to provide additional relief under Exchange Act rule 15a-6 to permit Canadian broker-dealers to engage in activities to maintain Canadian participants’ Canadian retirement accounts without registration under the...

1 http://members.ici.org [10821] March 23, 1999 TO: COMPLIANCE ADVISORY COMMITTEE No. 10-99 INTERNATIONAL COMMITTEE No. 10-99 SEC RULES COMMITTEE No. 21-99 SECURITIES OPERATIONS SUBCOMMITTEE RE: 1999 UPDATE - BLUE FLAG __________________________________________________________________...

1 SEC Release No. IC-23735 (March 16, 1999). [10812] March 18, 1999 TO: OPERATIONS COMMITTEE No. 10-99 SEC RULES COMMITTEE No. 20-99 TECHNOLOGY TASK FORCE RE: SEC PROPOSES RULE CHANGES TO ACCOMMODATE EDGAR MODERNIZATION _________________________________________________________________...

1 Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance, Rel. No. 34-41142 (March 5, 1999); 64 Fed. Reg. 12127 (March 11, 1999) (the “Release”). 1 [10800] March 15, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 7-99 CLOSED-END...

[10797] March 15, 1999 TO: SEC RULES COMMITTEE No. 18-99 COMPLIANCE ADVISORY COMMITTEE No. 8-99 RE: COMMENTS ON THE NEW PROSPECTUS DISCLOSURE REQUIREMENTS _____________________________________________________________________________ As we mentioned at the last committee meetings, we...