SEC Rules Content

[10493] November 18, 1998 TO: SEC RULES COMMITTEE No. 117-98 RE: SPECIAL MEETING TO BE HELD DURING THE 1998 SECURITIES LAW PROCEDURES CONFERENCE ______________________________________________________________________________ As in the past, we have scheduled a meeting for members of...

* See Memorandum to Advertising Subcommittee No. 44-98, SEC Rules Committee No. 113-98 and Unit Investment Trust Committee No. 34-98, dated November 10, 1998. [10494] November 18, 1998 TO: ADVERTISING COMPLIANCE SUBCOMMITTEE No. 47-98 SEC RULES COMMITTEE No. 118-98 UNIT INVESTMENT...

[10486] November 13, 1998 TO: OPERATIONS COMMITTEE No. 44-98 PRIMARY CONTACTS - MEMBER COMPLEX No. 108-98 SEC RULES COMMITTEE No. 116-98 SMALL FUNDS COMMITTEE No. 16-98 TECHNOLOGY TASK FORCE RE: MUTUAL FUND YEAR 2000 PROJECT LEADERS MEETING - DECEMBER 9, 1998 _________________________...

* See Charles Gasparino, S&P, Moody’s Plan to Rate Stock Funds, Wall Street Journal, Oct. 28, 1998. The article is not included with the attached letter. [10473] November 12, 1998 TO: SEC RULES COMMITTEE No. 115-98 RE: INSTITUTE LETTER REGARDING EQUITY FUND RATINGS ___________________...

[10472] November 11, 1998 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 25-98 INVESTMENT ADVISERS COMMITTEE No. 35-98 SEC RULES COMMITTEE No. 114-98 UNIT INVESTMENT TRUST COMMITTEE No. 35-98 RE: SEC SEMI-ANNUAL REGULATORY AGENDA ______________________________________________________...

* See Securities and Exchange Commission Release No. 34-40627 (Nov. 2, 1998), 63 Fed. Reg. 60431 (Nov. 9, 1998). [10467] November 10, 1998 TO: ADVERTISING COMPLIANCE SUBCOMMITTEE No. 44-98 SEC RULES COMMITTEE No. 113-98 UNIT INVESTMENT TRUST COMMITTEE No. 34-98 RE: SEC PUBLISHES FOR...

1 See Memorandum to SEC Rules Committee No. 101-98, dated Oct. 12, 1998. 2 See Memorandum to SEC Rules Committee No. 109-98, dated Oct. 29, 1998. [10464] November 10, 1998 TO: SEC RULES COMMITTEE No. 111-98 RE: INSTITUTE COMMENT LETTER ON REPROPOSED BROKER-DEALER BOOKS AND RECORDS...

[10458] November 6, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 48-98 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-98 DIRECT MARKETING COMMITTEE No. 20-98 FEDERAL LEGISLATION COMMITTEE No. 2-98 INDUSTRY STATISTICS COMMITTEE No. 15-98 INTERNATIONAL COMMITTEE No. 33-98 INVESTMENT...

* See Memorandum to SEC Rules Committee No. 101-98, dated Oct. 12, 1998. [10437] October 29, 1998 TO: SEC RULES COMMITTEE No. 109-98 RE: DRAFT COMMENT LETTER ON REPROPOSED BROKER-DEALER BOOKS AND RECORDS REQUIREMENTS ____________________________________________________________________...

1 Pub. Law 105-271 (Oct. 19, 1998). 2 A “covered action” is any civil action, except one brought by a Federal, State, or other public entity, agency, or authority acting in a regulatory, supervisory, or enforcement capacity. [10417] October 28, 1998 TO: PRIMARY CONTACTS - MEMBER...