SEC Rules Content

October 3, 1994 TO: INTERNATIONAL COMMITTEE NO. 17-94 SEC RULES COMMITTEE NO. 105-94 RE: INSTITUTE LETTER TO SEC STAFF ON RULE 17f-5 __________________________________________________________ Enclosed is a copy of a letter prepared by counsel to the Institute and submitted to the SEC...

October 3, 1994 TO: BOARD OF GOVERNORS NO. 102-94 SEC RULES COMMITTEE NO. 104-94 RE: INSTITUTE COMMENT LETTER ON PROPOSED AMENDMENTS TO NASD CASH/NON-CASH COMPENSATION RULES __________________________________________________________ As we previously informed you, the NASD recently...

September 23, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 48-94 SEC RULES COMMITTEE NO. 103-94 RE: DRAFT COMMENT LETTER ON PROPOSAL REGARDING PAYMENT OF FUND EXPENSES THROUGH BROKERAGE/SERVICE ARRANGEMENTS __________________________________________________________ As we previously...

September 9, 1994 TO: SEC RULES COMMITTEE NO. 102-94 RE: NOTICE OF MEETING - OCTOBER 25, 1994 __________________________________________________________ A meeting of the SEC Rules Committee has been scheduled for 10:00 a.m. on Tuesday, October 25, 1994 at the Investment Company...

September 6, 1994 TO: CLOSED-END FUND COMMITTEE NO. 19-94 SEC RULES COMMITTEE NO. 101-94 UNIT INVESTMENT TRUST COMMITTEE NO. 59-94 RE: SEC PROPOSAL TO REQUIRE DISCLOSURE OF SECURITY RATINGS __________________________________________________________ The Securities and Exchange...

September 2, 1994 TO: BOARD OF GOVERNORS NO. 92-94 SEC RULES COMMITTEE NO. 100-94 RE: SEC CONCEPT RELEASE ON RATING AGENCIES (NRSROs) __________________________________________________________ The Securities and Exchange Commission has issued a concept release soliciting comment on...

August 29, 1994 TO: SEC RULES COMMITTEE NO. 99-94 STATE LIAISON COMMITTEE NO. 49-94 RE: NASAA RESPONSE TO INSTITUTE LETTER ON SUMMARY PROSPECTUS PROPOSAL __________________________________________________________ As we previously reported, the Institute recently responded to a letter...

August 26, 1994 TO: COMPLIANCE COMMITTEE NO. 15-94 SEC RULES COMMITTEE NO. 98-94 RE: RECOMMENDATIONS OF THE ADVISORY GROUP ON PERSONAL TRADING __________________________________________________________ On July 26th, the Institute held a meeting of members to discuss the Advisory Group...

August 22, 1994 TO: BANK INVESTMENT MANAGEMENT MEMBERS NO. 27-94 INSTITUTIONAL FUNDS COMMITTEE NO. 13-94 SEC RULES COMMITTEE NO. 97-94 RE: SEC NO-ACTION LETTER CONCERNING COMMON TRUST FUND CONVERSION __________________________________________________________ The Division of Investment...

August 19, 1994 TO: BOARD OF GOVERNORS NO. 83-94 FEDERAL LEGISLATION COMMITTEE NO. 26-94 FEDERAL LEGISLATION MEMBERS NO. 23-94 SEC RULES COMMITTEE NO. 94-94 RE: SEC APPROPRIATION CUT BY CONGRESS __________________________________________________________ On its way to the President for...