SEC Rules Content

[9765] March 17, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 15-98 OPERATIONS COMMITTEE No. 17-98 SEC RULES COMMITTEE No. 25-98 TRANSFER AGENT ADVISORY COMMITTEE No. 18-98 RE: CAPACITY PLANNING PAPER ______________________________________________________________________________...

1 Year 2000 Readiness Reports to Be Made by Transfer Agents, SEC Release No. 34-39726; File No. S7-8-98 (March 5, 1998); and Reports to Be Made by Certain Brokers and Dealers, SEC Release No. 34-39724, IC-23059, IA-1704; File No. S7-7-98 (March 5, 1998) (collectively, the “proposed...

* See Memorandum to Accounting/Treasurers Committee No. 9-98, Operations Committee No. 11-98, SEC Rules Committee No. 17-98, Transfer Agent Advisory Committee No. 11-98 and Equity Markets Task Force, dated February 26, 1998. [9749] March 10, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No...

1 See Memorandum to SEC Rules Committee No. 9-98, dated February 10, 1998. 2 See Memorandum to Accounting/Treasurers Committee No. 18-95, SEC Rules Committee No. 58-95, and Unit Investment Trust Committee No. 42-95, dated April 18, 1995. [9738] March 5, 1998 TO: SEC RULES COMMITTEE No...

1 See SEC Rules Committee No. 7-98, dated February 9, 1998. [9735] March 4, 1998 TO: SEC RULES COMMITTEE No. 21-98 RE: INSTITUTE LETTER TO SEC STAFF REQUESTING MODIFICATION OF DIRECTORS' RESPONSIBILITIES REGARDING REPURCHASE AGREEMENTS _________________________________________________...

[9724] March 3, 1998 TO: ADVERTISING SUBCOMMITTEE No. 9-98 BROKER/DEALER ASSOCIATE MEMBERS No. 4-98 COMPLIANCE ADVISORY COMMITTEE No. 7-98 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 3-98 CONTINUING EDUCATION/TRAINING MEMBERS No. 3-98 DIRECT MARKETING COMMITTEE No. 6-98...

* See Memorandum to Money Market Funds Advisory Committee No. 8-97 and SEC Rules Committee No. 119-97, dated December 23, 1997. [9720] March 2, 1998 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 3-98 SEC RULES COMMITTEE No. 19-98 RE: INSTITUTE COMMENT LETTER ON SEC PROPOSAL TO DEFINE...

[9717] February 26, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 10-98 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-98 DIRECT MARKETING COMMITTEE No. 5-98 DIRECTOR SERVICES COMMITTEE No. 1-98 FEDERAL LEGISLATION COMMITTEE No. 1-98 INDUSTRY STATISTICS COMMITTEE No. 4-98 INTERNATIONAL...

[9715] February 26, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 9-98 OPERATIONS COMMITTEE No. 11-98 SEC RULES COMMITTEE No. 17-98 TRANSFER AGENT ADVISORY COMMITTEE No. 11-98 EQUITY MARKETS TASK FORCE RE: NYSE PROPOSES AMENDMENTS TO CIRCUIT BREAKER RULES ______________________________...

[9711] February 25, 1998 TO: SEC RULES COMMITTEE No. 16-98 RE: FORMATION OF EARLY MARKET CLOSING TASK FORCE ______________________________________________________________________________ As discussed at the recent meeting of the SEC Rules Committee, when market volatility in October...