SEC Rules Content

December 21, 1994 TO: CLOSED-END FUND COMMITTEE No. 36-94 SEC RULES COMMITTEE No. 135-94 UNIT INVESTMENT TRUST COMMITTEE No. 86-94 RE: DRAFT INSTITUTE LETTER ON SEC CONCEPT RELEASE ON DISCLOSURE OF FORWARD-LOOKING INFORMATION ___________________________________________________________...

December 20, 1994 TO: SEC RULES COMMITTEE No. 134-94 UNIT INVESTMENT TRUST COMMITTEE No. 85-94 RE: INSTITUTE LETTER TO SEC STAFF ON DISCLOSURE REQUIREMENT OF NON-SIPC STATUS ______________________________________________________________________________ As you know, the SEC recently...

December 19, 1994 TO: BANK INVESTMENT MANAGEMENT MEMBERS No. 39-94 BOARD OF GOVERNORS No. 127-94 SEC RULES COMMITTEE No. 133-94 SUBCOMMITTEE ON ADVERTISING No. 25-94 RE: PROPOSED NASD RULES CONCERNING BANK BROKER-DEALER ACTIVITIES ______________________________________________________...

December 12, 1994 TO: CLOSED-END FUND COMMITTEE No. 34-94 SEC RULES COMMITTEE No. 131-94 UNIT INVESTMENT TRUST COMMITTEE No. 82-94 RE: DRAFT COMMENT LETTER ON SEC PROPOSED LEGAL PROCEEDINGS DISCLOSURE REQUIREMENTS _______________________________________________________________________...

December 12, 1994 TO: SEC RULES COMMITTEE No. 132-94 CLOSED-END FUND COMMITTEE No. 35-94 UNIT INVESTMENT TRUST COMMITTEE No. 83-94 RE: SEC CONCEPT RELEASE ON DISCLOSURE OF FORWARD-LOOKING INFORMATION ______________________________________________________________________________ As we...

December 9, 1994 TO: SEC RULES COMMITTEE No. 129-94 RE: DRAFT LETTER TO SEC STAFF ON CONFIRM DISCLOSURE OF NON-SIPC STATUS ______________________________________________________________________________ As you know, the SEC recently adopted amendments to Rule 10b-10 under the...

1 See Memorandum to Closed-End Fund Committee No. 28-94, SEC Rules Committee No. 123-94, Subcommittee on Advertising No. 19-94, Unit Investment Trust Committee No. 76-94, Risk Measurement Task Force, dated November 22, 1994. December 9, 1994 TO: CLOSED-END FUND COMMITTEE No. 33-94 SEC...

1 Copies of the Institute's letter were delivered to the Federal Deposit Insurance Corporation, the Office of Thrift Supervision, the Federal Reserve Board, the Securities and Exchange Commission, the National Association of Securities Dealers, Inc., and Ellen Seidman, Special...

November 29, 1994 TO: BOARD OF GOVERNORS No. 118-94 COMPLIANCE COMMITTEE No. 22-94 SEC RULES COMMITTEE No. 126-94 MUTUAL FUND INTERNAL COMPLIANCE WORKING GROUP RE: INSTITUTE SUBMITS MUTUAL FUND INTERNAL COMPLIANCE PROPOSAL TO SEC _______________________________________________________...

November 29, 1994 TO: CLOSED-END FUND COMMITTEE No. 30-94 SEC RULES COMMITTEE No. 127-94 UNIT INVESTMENT TRUST COMMITTEE No. 79-94 RE: LETTER TO ONTARIO SECURITIES COMMISSION ON NON-RESIDENT FUND MANAGERS __________________________________________________________ As you know, the...