SEC Rules Content

March 31, 1995 TO: SEC RULES COMMITTEE No. 50-95 RISK DISCLOSURE TASK FORCE RE: SEC CONCEPT RELEASE ON IMPROVING MUTUAL FUND RISK DISCLOSURE ______________________________________________________________________________ The Securities and Exchange Commission has issued a concept...

March 30, 1995 TO: BOARD OF GOVERNORS No. 42-95 SEC RULES COMMITTEE No. 48-95 SUBCOMMITTEE ON ADVERTISING No. 4-95 RE: RECENT ADDRESS OF THE DIRECTOR OF THE DIVISION OF INVESTMENT MANAGEMENT CONCERNING MUTUAL FUND SALES PRACTICES _______________________________________________________...

1 See Memorandum to SEC Rules Members No. 22-95, dated March 29, 1995. March 30, 1995 TO: COMPLIANCE COMMITTEE No. 17-95 SEC RULES COMMITTEE No. 49-95 RE: RECOMMENDATIONS FOR IMPROVING MUTUAL FUND INSPECTIONS ____________________________________________________________________________...

March 24, 1995 TO: BOARD OF GOVERNORS No. 39-95 INVESTMENT ADVISER MEMBERS No. 17-95 SEC RULES COMMITTEE No. 47-95 STATE SECURITIES MEMBERS No. 12-95 UNIT INVESTMENT TRUST COMMITTEE No. 34-95 RE: INSTITUTE COMMENT LETTER ON 1995 CONFERENCE ON FEDERAL-STATE SECURITIES REGULATION ______...

March 24, 1995 TO: INVESTMENT COMPANY DIRECTORS BOARD OF GOVERNORS No. 38-95 MEMBERS - ONE PER COMPLEX No. 36-95 SEC RULES COMMITTEE No. 46-95 RE: FINAL REMINDER - INVESTMENT COMPANY DIRECTORS WORKSHOP ON APRIL 18 _______________________________________________________________________...

March 22, 1995 TO: BANK BROKER/DEALER ADVISORY COMMITTEE No. 9-95 BROKER/DEALER ADVISORY COMMITTEE No. 10-95 DIRECT MARKETING COMMITTEE No. 19-95 HUMAN RESOURCES FORUM No. 8-95 MARKETING POLICY COMMITTEE No. 20-95 MEMBERS - ONE PER COMPLEX No. 35-95 OPERATIONS COMMITTEE No. 16-95...

March 16, 1995 TO: OPERATIONS COMMITTEE No. 15-95 SEC RULES COMMITTEE No. 43-95 TRANSFER AGENT ADVISORY COMMITTEE No. 19-95 UNIT INVESTMENT TRUST COMMITTEE No. 32-95 RE: SEC ADOPTS T+3 SETTLEMENT FOR MUNICIPAL SECURITIES ________________________________________________________________...

March 15, 1995 TO: SEC RULES COMMITTEE No. 42-95 STATE LIAISON COMMITTEE No. 15-95 UNIT INVESTMENT TRUST COMMITTEE No. 31-95 RE: UPDATE ON SECURITIES REGISTRATION DEPOSITORY (""SRD"") ______________________________________________________________________________ As discussed at the...

1 See Memorandum to Accounting/Treasurers Members No. 7-95, SEC Rules Members No. 6-95, and Unit Investment Trust Members No. 7-95, dated February 6, 1995. March 15, 1995 TO: ACCOUNTING/TREASURERS COMMITTEE No. 17-95 SEC RULES COMMITTEE No. 41-95 UNIT INVESTMENT TRUST COMMITTEE No. 30...