SEC Rules Content

November 15, 1995 TO: SEC RULES COMMITTEE No. 120-95 SUBCOMMITTEE ON ADVERTISING No. 24-95 RE: INSTITUTE PROPOSALS TO IMPROVE REGULATION OF INVESTMENT COMPANY ADVERTISING ______________________________________________________________________________ In July, the Institute submitted a...

November 10, 1995 TO: SEC RULES COMMITTEE No. 119-95 STATE SECURITIES MEMBERS No. 46-95 UNIT INVESTMENT TRUST MEMBERS No. 58-95 RE: OHIO ISSUES RULE PROPOSAL ON ILLIQUID SECURITIES ______________________________________________________________________________ We are pleased to inform...

1 See Memorandum to SEC Rules Committee No. 109-95, Subcommittee on Advertising No. 19-95 and Technology Advisers Roundtable, dated October 10, 1995. November 9, 1995 TO: SEC RULES COMMITTEE No. 118-95 SUBCOMMITTEE ON ADVERTISING No. 22-95 TECHNOLOGY ADVISORS ROUNDTABLE RE: DRAFT...

November 8, 1995 TO: BOARD OF GOVERNORS No. 74-95 CLOSED-END FUND COMMITTEE No. 53-95 FEDERAL LEGISLATION MEMBERS No. 24-95 MEMBERS - ONE PER COMPLEX No. 96-95 SEC RULES COMMITTEE No. 117-95 STATE LIAISON COMMITTEE No. 32-95 RE: CONGRESSIONAL HEARING ON H.R. 1495, THE INVESTMENT...

November 2, 1995 TO: INVESTMENT ADVISERS COMMITTEE No. 44-95 SEC RULES COMMITTEE No. 116-95 RE: PROPOSED NASD INTEPRETATION CONCERNING SUITABILITY OBLIGATIONS TO INSTITUTIONAL CUSTOMERS ______________________________________________________________________________ The National...

October 30, 1995 TO: CLOSED-END FUND COMMITTEE No. 52-95 SEC RULES COMMITTEE No. 115-95 UNIT INVESTMENT TRUST COMMITTEE No. 79-95 RE: DRAFT INSTITUTE COMMENT LETTER CONCERNING PROPOSED SEC RULE AMENDMENTS ON PERSONAL INVESTING __________________________________________________________...

October 26, 1995 TO: BOARD OF GOVERNORS No. 73-95 FEDERAL LEGISLATION MEMBERS No. 23-95 MEMBERS - ONE PER COMPLEX No. 93-95 SEC RULES COMMITTEE No. 114-95 STATE LIAISON COMMITTEE No. 31-95 RE: (1) INSTITUTE TESTIMONY ON FEDERAL/STATE REGULATION (2) SEC CHAIRMAN LEVITT’S SPEECH _______...

October 20, 1995 TO: SEC RULES COMMITTEE No. 113-95 RE: DRAFT AGENDA FOR OCTOBER 30th MEETING ______________________________________________________________________________ Attached is a draft agenda for the October 30th SEC Rules Committee Meeting. The meeting will be held at the...

1 See Memorandum to Accounting/Treasurers Committee No. 42-95; Closed-End Fund Committee No. 48-95; International Committee No. 30-95; SEC Rules Committee No. 110-95; Unit Investment Trust Committee No. 75-95; Rule 17f-5 Ad Hoc Subcommittee, dated October 11, 1995. October 13, 1995 TO...

October 12, 1995 TO: BOARD OF GOVERNORS No. 69-95 PENSION COMMITTEE No. 18-95 SEC RULES COMMITTEE No. 111-95 RE: REMARKS OF SEC COMMISSIONER WALLMAN AT INSTITUTE DIRECTORS CONFERENCE ______________________________________________________________________________ SEC Commissioner Steven...