SEC Rules Content

1 Securities and Exchange Commission Release No. 34-40372 (Aug. 27, 1998), 63 Fed. Reg. 47059 (Sept. 3, 1998). 2 See Memorandum to Advertising Subcommittee No. 14-98 and SEC Rules Committee No. 34-98, dated April 17, 1998. 3 See Memorandum to Advertising Compliance Subcommittee No. 33...

1 See Memorandum to SEC Rules Committee No. 84-98 and Unit Investment Trust Committee No. 24-98, dated August 20, 1998. 1 [10237] August 28, 1998 TO: SEC RULES COMMITTEE No. 85-98 UNIT INVESTMENT TRUST COMMITTEE No. 26-98 RE: DRAFT COMMENT LETTER ON REVISED PROPOSED AMENDMENTS TO NASD...

[10208] August 18, 1998 TO: BOARD OF GOVERNORS No. 53-98 INVESTMENT COMPANY DIRECTORS No. 8-98 PRIMARY CONTACTS - MEMBER COMPLEX No. 71-98 SEC RULES COMMITTEE No. 83-98 RE: 1998 INVESTMENT COMPANY DIRECTORS CONFERENCE ___________________________________________________________________...

1 See Memorandum to Investment Advisers Committee No. 23-98 and SEC Rules Committee No. 66-98, dated July 1, 1998. [10204] August 14, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 30-98 SEC RULES COMMITTEE No. 82-98 RE: INSTITUTE COMMENT LETTER ON NYSE SHAREHOLDER APPROVAL POLICY...

* See Memorandum to SEC Rules Committee No. 53-98, dated June 4, 1998. 1 [10202] August 13, 1998 TO: SEC RULES COMMITTEE No. 81-98 RE: PROPOSED ADDITIONAL DRAFT RECOMMENDATIONS FOR NEW AND AMENDED RULES CONCERNING AFFILIATED TRANSACTIONS _______________________________________________...

* See Memorandum to Accounting/Treasurers Committee No. 28-98, SEC Rules Committee No. 71-98 and Shareholder Reports Task Force dated July 10, 1998. [10196] August 12, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 36-98 SEC RULES COMMITTEE No. 79-98 SHAREHOLDER REPORTS TASK FORCE RE...

1 See NASD Notice to Members 98-47 (July 1998); see also Memorandum to Advertising Compliance Subcommittee No. 25- 98 and SEC Rules Committee No. 56-98, dated June 12, 1998. The amendment also revises the definition of “institutional account” to include the accounts of investment...

* See Memorandum to SEC Rules Committee No. 43-98, dated May 13, 1998. [10192] August 11, 1998 TO: SEC RULES COMMITTEE No. 77-98 RE: DRAFT COMMENT LETTER ON CFTC CONCEPT RELEASE ON OTC DERIVATIVES ____________________________________________________________________________ As we...

1 See Memorandum to Accounting/Treasurers Committee No. 27-98, Compliance Advisory Committee No. 18-98, Independent Accountants Advisory Committee No. 7-98, Internal Audit Committee No. 6-98, Investment Advisers Committee No. 24-98, Operations Committee No. 26-98, SEC Rules Committee...