SEC Rules Content

[9874] April 28, 1998 TO: SEC RULES COMMITTEE No. 36-98 RE: NOTICE OF MEETING JUNE 17, 1998 ______________________________________________________________________________ A meeting of the SEC Rules Committee has been scheduled for Wednesday, June 17, 1998 at the offices of the...

* See Memorandum to Accounting/Treasurers Committee No. 16-98, Closed-End Investment Company Committee No. 8-98, International Committee No. 14-98, SEC Rules Committee No. 27-98, Unit Investment Trust Committee No. 11-98, and Rule 17f-5 Working Group, dated March 24, 1998. [9828]...

1 See Letter from Alden S. Adkins, NASD Regulation, Inc. to Katherine A. England, Securities and Exchange Commission, dated April 7, 1998 (copy attached). 2 See Memorandum to SEC Rules Members No. 6-98 and Advertising Subcommittee No. 4-98, dated January 16, 1998. 3 See Memorandum to...

* See Memorandum to SEC Rules Committee No. 60-97, dated June 13, 1997. [9851] April 17, 1998 TO: SEC RULES COMMITTEE No. 33-98 RE: ANNEX TO PSA MASTER REPO AGREEMENT FOR TRANSACTIONS IN EQUITY SECURITIES ______________________________________________________________________________...

[9844] April 16, 1998 TO: ADVERTISING SUBCOMMITTEE No. 13-98 BROKER/DEALER ASSOCIATE MEMBERS No. 8-98 COMPLIANCE ADVISORY COMMITTEE No. 13-98 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 6-98 CONTINUING EDUCATION/TRAINING MEMBERS No. 5-98 DIRECT MARKETING COMMITTEE No. 8...

1 See Memorandum to SEC Rules Members No. 19-98, dated March 19, 1998. [9850] April 16, 1998 TO: SEC RULES COMMITTEE No. 32-98 RE: INSTITUTE NO-ACTION REQUEST REGARDING ELIMINATION OF 4 TO 6 MONTH UPDATE ______________________________________________________________________________ As...

* See Memorandum to Accounting/Treasurers Committee No. 13-98, Compliance Advisory Committee No. 8-98, Independent Accountants Advisory Committee No. 3-98, Internal Audit Committee No. 2-98, Investment Advisers Committee No. 10-98, Operations Committee No. 13-98, SEC Rules Committee...

* See Memorandum to Accounting/Treasurers Committee No. 13-98, Compliance Advisory Committee No. 8-98, Independent Accountants Advisory Committee No. 3-98, Internal Audit Committee No. 2-98, Investment Advisers Committee No. 10-98, Operations Committee No. 13-98, SEC Rules Committee...

1 See Memorandum to SEC Rules Members No. 36-97, Accounting/Treasurers Members No. 18-97, Closed-End Investment Company Members No. 14-97, International Members No. 7-97, and Unit Investment Trust Members No. 14-97, dated May 15, 1997. [9792] March 24, 1998 TO: ACCOUNTING/TREASURERS...

* See Memorandum to Accounting/Treasurers Committee No. 14-98, Operations Committee No. 14-98, SEC Rules Committee No. 24-98, Transfer Agent Advisory Committee No. 15-98 and Equity Markets Task Force, dated March 10, 1998. [9771] March 18, 1998 TO: ACCOUNTING/TREASURERS MEMBERS No. 5...