SEC Rules Content

[10418] October 27, 1998 TO: BOARD OF GOVERNORS No. 70-98 FEDERAL LEGISLATION MEMBERS No. 26-98 PRIMARY CONTACTS - MEMBER COMPLEX No. 98-98 PUBLIC INFORMATION COMMITTEE No. 48-98 SEC RULES COMMITTEE No. 105-98 RE: PRESIDENT EXPECTED TO SIGN SECURITIES LITIGATION REFORM LEGISLATION...

[10419] October 27, 1998 TO: BOARD OF GOVERNORS No. 71-98 FEDERAL LEGISLATION MEMBERS No. 27-98 PRIMARY CONTACTS - MEMBER COMPLEX No. 99-98 PUBLIC INFORMATION COMMITTEE No. 49-98 SEC RULES COMMITTEE No. 106-98 TAX COMMITTEE No. 33-98 RE: LEGISLATION WOULD REQUIRE SEC TO IMPROVE...

[10423] October 27, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 47-98 COMPLIANCE ADVISORY COMMITTEE No. 35-98 SEC RULES COMMITTEE No. 107-98 RE: INSTITUTE MEMORANDUM ON "EMERGENCY" PRICING PROCEDURES ______________________________________________________________________________ The...

* NASD Notice to Members 98-81 (October 1998). [10380] October 16, 1998 TO: ADVERTISING COMPLIANCE SUBCOMMITTEE No. 41-98 SEC RULES COMMITTEE No. 104-98 RE: NASDR REQUESTS COMMENT ON DELETING OBSOLETE RULES OR AMENDING RULES TO PROVIDE INSTITUTIONAL CUSTOMER EXCEPTION ________________...

[10377] October 14, 1998 TO: SEC RULES COMMITTEE No. 103-98 RE: DRAFT AGENDA FOR OCTOBER 21 MEETING ______________________________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for Wednesday, October 21st at 10...

* See Securities and Exchange Release No. 34-40500 (Sept. 29, 1998), 63 Fed. Reg. 53740 (Oct. 6, 1998). In the context of mutual fund sales, a “breakpoint” is the point at which the sales charge is reduced due to a higher number of shares purchased. [10372] October 13, 1998 TO: SEC...

1 Securities and Exchange Commission Release No. 34-40518 (Oct. 2, 1998), 63 Fed. Reg. 54409 (Oct. 9, 1998). 2 See Memorandum to SEC Rules Committee No. 121-96 (Nov. 15, 1996). 3 The ICI submitted comments on the original proposal recommending that broker-dealers that only serve as...

1 In a comment letter on the April amendments, the Institute suggested the following: (1) that all stock option plans (non- broadly based and broadly based) be subject to shareholder approval if they are likely to have a dilutive effect on existing shareholders; (2) that the...

* See Memorandum to Closed-End Investment Company Committee No. 19-98 and SEC Rules Committee No. 92-98, dated September 18, 1998. 1 [10359] October 7, 1998 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 21-98 SEC RULES COMMITTEE No. 99-98 RE: ICI COMMENT LETTER ON SEC PROPOSED...

[10348] October 1, 1998 TO: BOARD OF GOVERNORS No. 66-98 INVESTMENT COMPANY DIRECTORS No. 10-98 PRIMARY CONTACTS - MEMBER COMPLEX No. 88-98 SEC RULES COMMITTEE No. 97-98 RE: 1998 INVESTMENT COMPANY DIRECTORS CONFERENCE -- FINAL PROGRAM _________________________________________________...