SEC Rules Content

October 31, 1994 TO: SEC RULES COMMITTEE NO. 115-94 RE: MUTUAL FUND INTERNAL COMPLIANCE RULE __________________________________________________________ Attached for your immediate review and comment is a revised draft of the Institute's proposed mutual fund internal compliance rule...

October 21, 1994 TO: MEMBERS - ONE PER COMPLEX NO. 82-94 SEC RULES COMMITTEE NO. 114-94 RE: SURVEY OF MEMBER COMPLIANCE WITH RECOMMENDATIONS ON PERSONAL INVESTING __________________________________________________________ The SEC's Division of Investment Management has requested that...

October 21, 1994 TO: BOARD OF GOVERNORS NO. 108-94 SEC RULES COMMITTEE NO. 113-94 INVESTMENT COMPANY DIRECTORS CONFERENCE ATTENDEES RE: CHAIRMAN LEVITT'S REMARKS AT ICI INVESTMENT COMPANY DIRECTORS CONFERENCE __________________________________________________________ As part of a...

October 19, 1994 TO: SEC RULES COMMITTEE NO. 112-94 RE: DRAFT MUTUAL FUND INTERNAL COMPLIANCE RULE AND POSITION PAPER __________________________________________________________ Enclosed for your review and comment is a draft submission to the SEC proposing a new rule to require each...

October 18, 1994 TO: OPERATIONS COMMITTEE NO. 30-94 SEC RULES COMMITTEE NO. 109-94 TRANSFER AGENT ADVISORY COMMITTEE NO. 43-94 RE: NASAA SALES PRACTICES COMMITTEE URGES SEC STAFF TO REQUIRE CONFIRMATION DISCLOSURE OF FRONT-END LOADS ____________________________________________________...

October 18, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 51-94 SEC RULES COMMITTEE NO. 110-94 RE: INSTITUTE LETTER ON SEC PROPOSAL REGARDING PAYMENT OF FUND EXPENSES THROUGH BROKERAGE/SERVICE ARRANGEMENTS __________________________________________________________ The Institute...

October 18, 1994 TO: SEC RULES COMMITTEE NO. 111-94 RE: DRAFT AGENDA FOR OCTOBER 25TH MEETING __________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for 10 a.m. on Tuesday, October 25, 1994. The meeting will...

October 11, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 50-94 OPERATIONS COMMITTEE NO. 29-94 SEC RULES COMMITTEE NO. 108-94 RE: INSTITUTE LETTER CONCERNING SUITABILITY REQUIREMENTS FOR MULTIPLE CLASS AND MASTER-FEEDER FUNDS __________________________________________________________...

October 4, 1994 TO: OPERATIONS COMMITTEE NO. 27-94 SEC RULES COMMITTEE NO. 107-94 TRANSFER AGENT ADVISORY COMMITTEE NO. 39-94 UNIT INVESTMENT TRUST COMMITTEE NO. 64-94 RE: INSTITUTE COMMENT LETTER ON PROPOSED T+3 SETTLEMENT FOR MUNICIPAL SECURITIES ____________________________________...

October 4, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 49-94 SEC RULES COMMITTEE NO. 106-94 RE: INSTITUTE LETTER ON PROPOSED RULE 17f-6 __________________________________________________________ As we previously informed you, the Securities and Exchange Commission has proposed Rule...