SEC Rules Content

1 See Memorandum to Compliance Committee No. 21-94, Investment Advisers Committee No. 56-94 and SEC Rules Committee No. 121-94, dated November 17, 1994. January 23, 1995 TO: COMPLIANCE COMMITTEE No. 3-95 INVESTMENT ADVISERS COMMITTEE No. 6-95 SEC RULES COMMITTEE No. 10-95 UNIT...

January 20, 1995 TO: BOARD OF GOVERNORS No. 14-95 SEC RULES COMMITTEE No. 9-95 RE: INSTITUTE LETTER TO SEC STAFF ON STANDARDIZED RISK MEASURES ______________________________________________________________________________ The Institute recently submitted a letter to the SEC staff to...

January 19, 1995 TO: SEC RULES COMMITTEE No. 8-95 RE: IMPROVING THE SEC’S DISCLOSURE REVIEW PROCESS ______________________________________________________________________________ In a recent speech focusing on the readability of mutual fund prospectuses, SEC Chairman Levitt...

January 17, 1995 TO: INVESTMENT ADVISERS COMMITTEE No. 5-95 SEC RULES COMMITTEE No. 7-95 RE: CONGRESSMAN LEACH INTRODUCES DERIVATIVES LEGISLATION ______________________________________________________________________________ Congressman James Leach (R-IA), Chairman of the House...

1 See Memorandum to Closed-End Fund Members No. 37-94, SEC Rules Members No. 79-94 and Unit Investment Trust Members No. 41-94, dated October 31, 1994. 2 See Memorandum to Closed-End Fund Committee No. 36-94, SEC Rules Committee No. 135-94 and Unit Investment Trust Committee No. 86-94...

January 10, 1995 TO: SEC RULES COMMITTEE No. 4-95 STATE LIAISON COMMITTEE No. 2-95 RE: INSTITUTE’S SURVEY OF INCONSISTENT STATE INVESTMENT COMPANY REQUIREMENTS ______________________________________________________________________________ Attached is a copy of a summary prepared by...

January 10, 1995 TO: SEC RULES COMMITTEE No. 5-95 RE: MEETING SCHEDULED FOR FEBRUARY 14, 1995 _____________________________________________________________________________ A meeting of the SEC Rules Committee has been scheduled for Tuesday, February 14, 1995 at the offices of the...

January 9, 1995 TO: DIRECT MARKETING COMMITTEE No. 2-95 HUMAN RESOURCES AND TRAINING No. 2-95 HUMAN RESOURCES AND TRAINING WORKING GROUP No. 2-95 MARKETING POLICY COMMITTEE No. 3-95 MEMBERS - ONE PER COMPLEX No. 3-95 OPERATIONS COMMITTEE No. 2-95 SALES FORCE MARKETING COMMITTEE No. 2...

January 9, 1995 TO: CLOSED-END FUND COMMITTEE No. 2-95 SEC RULES COMMITTEE No. 2-95 UNIT INVESTMENT TRUST COMMITTEE No. 2-95 RE: INSTITUTE COMMENT LETTER SEEKS WITHDRAWAL OF SEC LEGAL PROCEEDINGS DISCLOSURE PROPOSAL _____________________________________________________________________...

January 5, 1995 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-95 INVESTMENT ADVISERS COMMITTEE No. 1-95 OPERATIONS COMMITTEE No. 1-95 SEC RULES COMMITTEE No. 1-95 SMALL FUNDS COMMITTEE No. 1-95 TRANSFER AGENT ADVISORY COMMITTEE No. 2-95 RE: JANUARY 31, 1995 MEETING TO DISCUSS T+3...