SEC Rules Content

[9698] February 20, 1998 TO: INVESTMENT ADVISERS COMMITTEE No. 8-98 SEC RULES COMMITTEE No. 15-98 RE: PROPOSED AIMR SOFT DOLLAR STANDARDS ______________________________________________________________________________ As many of you are aware, a Blue Ribbon Task Force of the...

* See Memorandum to Closed-End Fund Committee No. 50-97, SEC Rules Committee No. 116-97, dated November 24, 1997. [9695] February 20, 1998 TO: SEC RULES COMMITTEE No. 13-98 RULE 17f-5 WORKING GROUP RE: SEC ISSUES INTERPRETATION REQUESTED REGARDING COMPULSORY DEPOSITORIES UNDER RULE...

[9697] February 20, 1998 TO: SEC RULES COMMITTEE No. 14-98 RULE 17f-5 WORKING GROUP RE: DRAFT PROPOSED AMENDMENTS TO RULE 17f-5 AND ASSOCIATION OF CUSTODIAN BANKS' CORRESPONDENCE REGARDING THE DRAFT AMENDMENTS ___________________________________________________________________________...

1 Testimony of Arthur Levitt, Chairman, U.S. Securities and Exchange Commission, Concerning Circuit Breakers, Before the Subcommittee on Securities, Committee on Banking, Housing, and Urban Affairs, United States Senate, January 29, 1998. [9678] February 13, 1998 TO: BOARD OF...

1 See Memorandum to Money Market Funds Advisory Committee No. 8-97 and SEC Rules Committee No. 119-97, dated December 23, 1997. [9670] February 11, 1998 TO: SEC RULES COMMITTEE No. 11-98 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 1-98 RE: DRAFT INSTITUTE COMMENT LETTER ON SEC PROPOSAL...

[9669] February 11, 1998 TO: ADVERTISING SUBCOMMITTEE No. 6-98 BROKER/DEALER ASSOCIATE MEMBERS No. 3-98 COMPLIANCE ADVISORY COMMITTEE No. 4-98 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 2-98 CONTINUING EDUCATION/TRAINING MEMBERS No. 2-98 DIRECT MARKETING COMMITTEE No. 2...

[9663] February 10, 1998 TO: SEC RULES COMMITTEE No. 9-98 RE: INSTITUTE DRAFT LETTER PROPOSING AMENDMENTS TO EXCHANGE OFFER RULE ______________________________________________________________________________ The Institute has prepared a draft letter to the SEC staff proposing...

[9656] February 9, 1998 TO: SEC RULES COMMITTEE No. 7-98 RE: REVISED INSTITUTE DRAFT LETTER TO SEC REQUESTING STAFF MODIFICATION OF BOARD RESPONSIBILITIES REGARDING REPURCHASE AGREEMENTS ______________________________________________________________________________ Based on the...

[9659] February 9, 1998 TO: SEC RULES COMMITTEE No. 8-98 RE: DRAFT AGENDA FOR FEBRUARY 18 MEETING ______________________________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for Wednesday, February 18, 1998 at...

1 Securities Exchange Act Release No. 34-39582 (January 26, 1998). [9650] February 6, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 5-98 OPERATIONS COMMITTEE No. 5-98 SEC RULES COMMITTEE No. 6-98 TRANSFER AGENT ADVISORY COMMITTEE No. 5-98 RE: SEC APPROVES INTERIM AMENDMENTS TO CIRCUIT...