SEC Rules Content

November 23, 1994 TO: CLOSED-END FUND COMMITTEE No. 29-94 SEC RULES COMMITTEE No. 125-94 RE: APPEALS COURT REVERSES DECISION ON HIGH-YIELD BOND FUND DISCLOSURE _____________________________________________________________________________ As we previously informed you, last year the...

November 22, 1994 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...

November 22, 1994 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 RE: DRAFT INSTITUTE COMMENT LETTER TO SEC CONCERNING RATINGS AND RATING AGENCIES _______...

November 18, 1994 TO: CLOSED-END FUND COMMITTEE No. 27-94 INVESTMENT ADVISERS COMMITTEE No. 57-94 SEC RULES COMMITTEE No. 122-94 UNIT INVESTMENT TRUST COMMITTEE No. 75-94 RE: SEC SEMI-ANNUAL REGULATORY AGENDA ____________________________________________________________________________...

November 17, 1994 TO: COMPLIANCE COMMITTEE No. 21-94 INVESTMENT ADVISERS COMMITTEE No. 56-94 SEC RULES COMMITTEE No. 121-94 RE: INSTITUTE TO SEEK INVESTMENT COMPANY/INVESTMENT ADVISER EXEMPTION FROM PUBLIC UTILITY HOLDING COMPANY REGULATION ____________________________________________...

November 15, 1994 TO: CONTRACTUAL PLANS COMMITTEE NO. 14-94 SEC RULES COMMITTEE NO. 120-94 STATE SECURITIES MEMBERS NO. 49-94 UNIT INVESTMENT TRUST MEMBERS NO. 43-94 RE: WISCONSIN COMMISSIONER OF SECURITIES ADOPTS AMENDMENTS TO REGULATIONS UNDER THE WISCONSIN UNIFORM SECURITIES ACT __...

November 8, 1994 TO: CLOSED-END FUND COMMITTEE NO. 25-94 SEC RULES COMMITTEE NO. 119-94 UNIT INVESTMENT TRUST COMMITTEE NO. 72-94 RE: SEC PROPOSAL TO REQUIRE LEGAL PROCEEDINGS DISCLOSURE IN INVESTMENT COMPANY PROSPECTUSES __________________________________________________________ The...

November 7, 1994 TO: SEC RULES COMMITTEE NO. 118-94 RE: SPECIAL MEETING SCHEDULED DURING THE 1994 ICI SECURITIES LAW PROCEDURES CONFERENCE __________________________________________________________ I am pleased to announce that the SEC's Division of Investment Management will...

November 2, 1994 TO: SEC RULES COMMITTEE NO. 117-94 RE: SEC ADOPTS RULES ON PAYMENT FOR ORDER FLOW AND PROPOSES ADDITIONAL RELATED DISCLOSURE REQUIREMENTS __________________________________________________________ As we previously informed you, the Securities and Exchange Commission...

October 31, 1994 TO: CLOSED-END FUND COMMITTEE NO. 24-94 INVESTMENT ISSUES COMMITTEE NO. 12-94 SEC RULES COMMITTEE NO. 116-94 UNIT INVESTMENT TRUST COMMITTEE NO. 68-94 RE: SEC ISSUES CONCEPT RELEASE AND NOTICE OF HEARING ON FORWARD-LOOKING INFORMATION _________________________________...