SEC Rules Content

* See Securities and Exchange Commission Release No. 34-40048 (May 29, 1998), 63 Fed. Reg. 31255 (June 8, 1998). The proposal also would amend the definition of “institutional account” to include the accounts of investment advisers that under the National Securities Markets...

[9995] June 8, 1998 TO: OPERATIONS MEMBERS No. 14-98 ACCOUNTING/TREASURERS COMMITTEE No. 23-98 BANK AND TRUST ADVISORY COMMITTEE No. 8-98 BROKER/DEALER ADVISORY COMMITTEE No. 9-98 TRANSFER AGENT ADVISORY COMMITTEE No. 27-98 SEC RULES COMMITTEE No. 55-98 SMALL FUNDS COMMITTEE No. 10-98...

[9994] June 5, 1998 TO: SEC RULES COMMITTEE No. 54-98 SHAREHOLDER REPORTS TASK FORCE RE: DRAFT LETTER TO SEC ON IMPROVING SHAREHOLDERS REPORTS ______________________________________________________________________________ Attached and summarized below is a draft of a letter from the...

1 See Memorandum to SEC Rules Committee No. 46-98, dated May 21, 1998. [9987] June 4, 1998 TO: SEC RULES COMMITTEE No. 51-98 RE: SUGGESTED QUESTIONS AND ANSWERS REGARDING FORM N-1A AMENDMENTS AND FUND PROFILE RULE _______________________________________________________________________...

[9988] June 4, 1998 TO: SEC RULES COMMITTEE No. 52-98 RE: DRAFT AGENDA FOR JUNE 17 MEETING ______________________________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for Wednesday, June 17th at 10:00 a.m. in...

[9991] June 4, 1998 TO: SEC RULES COMMITTEE No. 53-98 RE: DRAFT RECOMMENDATIONS FOR NEW AND AMENDED RULES CONCERNING AFFILIATED TRANSACTIONS ______________________________________________________________________________ At past meetings of the SEC Rules Committee, we have discussed...

1 See Memorandum to Advertising Compliance Subcommittee No. 20-98 and SEC Rules Committee No. 42-98, dated May 12, 1998. 2 See Memorandum to Advertising Compliance Subcommittee No. 21-98 and SEC Rules Committee No. 45-98, dated May 20, 1998. [9978] May 29, 1998 TO: ADVERTISING...

1 Memorandum to SEC Rules Committee No. 16-98, dated February 25, 1998. [9969] May 27, 1998 TO: SEC RULES COMMITTEE No. 49-98 RE: MUTUAL FUND PRICING IN THE EVENT OF AN EARLY MARKET CLOSING ______________________________________________________________________________ As discussed...

1 See SEC Release No. IC-23201 (May 21, 1998). The extension is effective upon publication of the release in the Federal Register. [9961] May 22, 1998 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 42-98 SEC RULES COMMITTEE No. 48-98 RULE 17f-5 WORKING GROUP RE: SEC EXTENDS COMPLIANCE DATE...

[9941] May 21, 1998 TO: SEC RULES MEMBERS No. 38-98 RE: VILLANOVA JOURNAL OF LAW AND INVESTMENT MANAGEMENT ______________________________________________________________________________ Attached is an announcement describing a new publication, the "Villanova Journal of Law and...