SEC Rules Content

1See Memorandum to Bank Broker/Dealer Advisory Committee No. 26-94, Broker/Dealer Advisory Committee No. 23-94, Direct Marketing Committee No. 33-94, Human Resources and Training Working Group No. 12-94, Marketing Policy Committee No. 49-94, Members - One Per Complex No. 89-94...

* Securities and Exchange Commission v. John Kaweske, No. 95-N-296 (D. Co. filed Feb. 6, 1995). February 9, 1995 TO: BOARD OF GOVERNORS No. 27-95 COMPLIANCE COMMITTEE No. 9-95 INVESTMENT ADVISERS COMMITTEE No. 11-95 SEC RULES COMMITTEE No. 19-95 RE: SEC FILES COMPLAINT AGAINST FORMER...

1 See Memorandum to Compliance Committee No. 3-95, Investment Advisers Committee No. 6-95, SEC Rules Committee No. 10-95 and Unit Investment Trust Committee No. 7-95, dated January 23, 1995. February 7, 1995 TO: COMPLIANCE COMMITTEE No. 8-95 INVESTMENT ADVISERS COMMITTEE No. 10-95 SEC...

February 6, 1995 TO: ACCOUNTING/TREASURERS COMMITTEE No. 9-95 COMPLIANCE COMMITTEE No. 5-95 SEC RULES COMMITTEE No. 17-95 UNIT INVESTMENT TRUST COMMITTEE No. 14-95 RE: SEC PROPOSES ADMENDMENTS TO RULES 24f-1 AND 24f-2 UNDER THE 1940 ACT ________________________________________________...

* See Memorandum to Members - One Per Complex No. 82-94, SEC Rules Committee No. 114-94, dated October 21, 1994. February 2, 1995 TO: MEMBERS - ONE PER COMPLEX No. 14-95 SEC RULES COMMITTEE No. 15-95 RE: SECOND INSTITUTE SURVEY OF MEMBER COMPLIANCE WITH RECOMMENDATIONS ON PERSONAL...

1 See Memorandum to Investment Advisers Committee No. 5-95 and SEC Rules Committee No. 7-95, dated January 17, 1995. February 2, 1995 TO: INVESTMENT ADVISERS COMMITTEE No. 9-95 SEC RULES COMMITTEE No. 16-95 RE: CONGRESSMAN GONZALEZ INTRODUCES DERIVATIVES LEGISLATION __________________...

* See Memorandum to SEC Rules Committee No. 134-94 and Unit Investment Trust Committee No. 85-94, dated December 20, 1994. January 31, 1995 TO: SEC RULES COMMITTEE No. 14-95 UNIT INVESTMENT TRUST COMMITTEE No. 10-95 RE: INSTITUTE LETTER TO SEC STAFF ON THE OPERATIONAL BURDENS OF THE...

January 31, 1995 TO: SEC RULES COMMITTEE No. 13-95 RE: DRAFT AGENDA FOR FEBRUARY 14 MEETING ______________________________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for Tuesday, February 14, 1995 at the...

January 27, 1995 TO: BOARD OF GOVERNORS No. 16-95 MEMBERS - ONE PER COMPLEX No. 10-95 SEC RULES COMMITTEE No. 12-95 INVESTMENT COMPANY DIRECTORS RE: INVESTMENT COMPANY DIRECTORS WORKSHOP ON APRIL 18 _____________________________________________________________________________ As part...

1 See Memorandum to Bank Investment Management Members No. 39-94, SEC Rules Committee No. 133-94, Subcommittee on Advertising No. 25-94, dated December 19, 1994. January 25, 1995 TO: BANK INVESTMENT MANAGEMENT MEMBERS No. 4-95 SEC RULES COMMITTEE No. 11-95 SUBCOMMITTEE ON ADVERTISING...