SEC Rules Content

August 19, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 46-94 SEC RULES COMMITTEE NO. 96-94 RE: PROPOSED NASD BOARD INTERPRETATION REGARDING SUITABILITY OBLIGATIONS TO INSTITUTIONAL CLIENTS __________________________________________________________ The National Association of Securities...

August 19, 1994 TO: BOARD OF GOVERNORS NO. 84-94 SEC RULES COMMITTEE NO. 95-94 RE: NASD PROPOSES AMENDMENTS TO CASH/NON-CASH COMPENSATION RULES __________________________________________________________ The NASD has proposed for public comment amendments to Article III, Section 26 of...

August 17, 1994 TO: DIRECT MARKETING COMMITTEE NO. 23-94 HUMAN RESOURCES AND TRAINING NO. 3-94 HUMAN RESOURCES AND TRAINING WORKING GROUP NO. 10-94 MARKETING POLICY COMMITTEE NO. 37-94 MEMBERS - ONE PER COMPLEX NO. 58-94 OPERATIONS COMMITTEE NO. 23-94 SALES FORCE MARKETING COMMITTEE...

August 17, 1994 TO: BOARD OF GOVERNORS NO. 79-94 FEDERAL LEGISLATION COMMITTEE NO. 22-94 FEDERAL LEGISLATION MEMBERS NO. 19-94 SEC RULES COMMITTEE NO. 91-94 RE: HOUSE COMMITTEE REPORTS H.R. 4858, SMALL BUSINESS INCENTIVE ACT BILL WITH NARROW 1940 ACT EXEMPTION ________________________...

August 17, 1994 TO: BOARD OF GOVERNORS NO. 80-94 FEDERAL LEGISLATION COMMITTEE NO. 23-94 FEDERAL LEGISLATION MEMBERS NO. 20-94 INVESTMENT ADVISERS COMMITTEE NO. 45-94 MEMBERS - ONE PER COMPLEX NO. 59-94 PENSION COMMITTEE NO. 25-94 SEC RULES COMMITTEE NO. 93-94 TAX COMMITTEE NO. 27-94...

1 A block of rooms has been reserved at the hotel for members staying over the night of September 7th. Please make your hotel reservations by August 24, 1993. When making your reservation, be sure to mention that you are attending the Institute's meeting to get the reduced rate. The...

August 15, 1994 TO: BOARD OF GOVERNORS NO. 76-94 FEDERAL LEGISLATION COMMITTEE NO. 21-94 FEDERAL LEGISLATION MEMBERS NO. 18-94 SEC RULES COMMITTEE NO. 89-94 RE: TELEMARKETING BILL HEADS FOR PRESIDENT'S DESK __________________________________________________________ Last week, the...

August 12, 1994 TO: BANK INVESTMENT MANAGEMENT MEMBERS NO. 26-94 CONTRACTUAL PLANS COMMITTEE NO. 11-94 SEC RULES COMMITTEE NO. 88-94 STATE LIAISON COMMITTEE NO. 43-94 UNIT INVESTMENT TRUST COMMITTEE NO. 54-94 RE: WISCONSIN PROPOSES AMENDMENTS TO ADMINISTRATIVE RULES INCLUDING A...

August 10, 1994 TO: SEC RULES COMMITTEE NO. 87-94 STATE SECURITIES MEMBERS NO. 42-94 SUBCOMMITTEE ON ADVERTISING NO. 16-94 UNIT INVESTMENT TRUST COMMITTEE NO. 53-94 RE: VERMONT CLARIFIES FILING REQUIREMENT FOR PROSPECTUS WRAPPERS _______________________________________________________...

August 4, 1994 TO: SEC RULES COMMITTEE NO. 86-94 SUBCOMMITTEE ON ADVERTISING NO. 15-94 RE: INSTITUTE COMMENT LETTER ON NASD RANKING GUIDELINES __________________________________________________________ As we previously informed you, the Securities and Exchange Commission recently...