SEC Rules Content

[10161] July 30, 1998 TO: SEC RULES COMMITTEE No. 76-98 RE: DRAFT PAPERS ON MONEY LAUNDERING AND FOREIGN ASSET CONTROL COMPLIANCE FOR MUTUAL FUNDS ______________________________________________________________________________ As you may know, at the direction of its Executive...

1 SEC Release Nos. IC-23325, IA-1736; File No. S7-22-98 (July 22, 1998), 63 Fed. Reg. 40231 (July 28,1998). 1 [10159] July 30, 1998 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-98 SEC RULES COMMITTEE No. 75-98 RE: SEC PROPOSES AMENDMENTS TO RULE 15a-4 UNDER THE INVESTMENT...

1 See Memorandum to Accounting/Treasurers Committee No. 27-98, Compliance Advisory Committee No. 18-98, Internal Audit Committee No. 6-98, Investment Advisers Committee No. 24-98, Operations Committee No. 26-98, SEC Rules Committee No. 68-98, and Transfer Agent Advisory Committee No...

1 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents, SEC Release No. 34-40163; File No. S7-8-98 (July 2, 1998); and Reports To Be Made by Certain Brokers and Dealers, SEC Release No. 34-40162; File No. S7-7-98 (July 2, 1998) (the “Releases”). 2 See Memorandum to...

1 The banking, insurance and securities trade associations presented similar papers at the privacy summit. [10117] July 13, 1998 TO: INTERNATIONAL COMMITTEE No. 21-98 SEC RULES COMMITTEE No. 72-98 ELECTRONIC COMMERCE ISSUES WORKING GROUP RE: INSTITUTE PRESENTS POSITION PAPER ON...

* See Memorandum to SEC Rules Committee No. 54-98 and Shareholder Reports Task Force dated June 5, 1998, and Memorandum to Accounting/Treasurers Committee No. 24-98 dated June 9, 1998. [10115] July 10, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 28-98 SEC RULES COMMITTEE No. 71-98 RE...

1 See Memorandum to SEC Rules Committee No. 43-98 (May 13, 1998). 2 See Commodities Futures Trading Commission, Extension of Comment Period on Concept Release (June 18, 1998), 63 Fed. Reg. 34335 (June 24, 1998). [10105] July 8, 1998 TO: SEC RULES COMMITTEE No. 70-98 RE: COMMENT PERIOD...

* See Memorandum to Advertising Compliance Subcommittee No. 27-98 and SEC Rules Committee No. 59-98, dated June 18, 1998. [10097] July 6, 1998 TO: ADVERTISING COMPLIANCE SUBCOMMITTEE No. 32-98 SEC RULES COMMITTEE No. 69-98 RE: INSTITUTE COMMENT LETTER ON PROPOSED RESEARCH REPORTS...

1 Investment Adviser Year 2000 Reports, SEC Release No. IA-1728, IC-23293; File No. S7-20-98 (June 30, 1998) (the “Release”). The Release is a follow-up to two earlier companion releases in which the SEC proposed Year 2000 reporting requirements for certain transfer agents and broker...

1 See 62 FR 26923 (May 16, 1997). 2 See Memorandum to SEC Rules Committee No. 48-98, dated May 22, 1998. 3 If the proposed amendments are adopted, it is likely that global custodians will be willing to accept delegation to make the determinations with respect to depositories that are...