SEC Rules Content

July 28, 1994 TO: BOARD OF GOVERNORS NO. 67-94 FEDERAL LEGISLATION COMMITTEE NO. 17-94 FEDERAL LEGISLATION MEMBERS NO. 14-94 SEC RULES COMMITTEE NO. 85-94 RE: INSTITUTE TESTIFIES ON SMALL BUSINESS LEGISLATION; OPPOSES EXEMPTIONS TO 1940 ACT ____________________________________________...

July 28, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 42-94 SEC RULES COMMITTEE NO. 84-94 RE: EXTENSION OF COMMENT PERIOD FOR PROPOSED RULE 17f-6 __________________________________________________________ As we previously informed you, the Securities and Exchange Commission has...

July 27, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 41-94 SEC RULES COMMITTEE NO. 83-94 RE: SEC IMPLEMENTS FINANCIAL DATA SCHEDULE FOR ELECTRONIC FILERS; ISSUES GUIDANCE ON AVOIDING ERRORS IN EDGAR FILING PROCESS __________________________________________________________ The SEC has...

July 21, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 40-94 BANK BROKER/DEALER ADVISORY COMMITTEE NO. 18-94 BROKER/DEALER ADVISORY COMMITTEE NO. 16-94 CLOSED-END FUND COMMITTEE NO. 18-94 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 11-94 OPERATIONS COMMITTEE NO. 18-94 SEC RULES...

July 21, 1994 TO: BANK BROKER/DEALER ADVISORY COMMITTEE NO. 17-94 BOARD OF GOVERNORS NO. 62-94 BROKER/DEALER ADVISORY COMMITTEE NO. 15-94 MARKETING POLICY COMMITTEE NO. 32-94 OPERATIONS COMMITTEE NO. 17-94 SALES FORCE MARKETING COMMITTEE NO. 26-94 SEC RULES COMMITTEE NO. 81-94...

1SEC ICI Memorandum to Board of Governors No. 56-94, Accounting/Treasurers Committee No. 35-94, Direct Marketing Committee No. 15- 94, Industry Statistics Committee No. 11-94, Marketing Policy Committee No. 26-94, Members - One Per Complex No. 41-94, Operations Committee No. 13-94...

July 15, 1994 TO: SEC RULES COMMITTEE NO. 79-94 UNIT INVESTMENT TRUST COMMITTEE NO. 50-94 RE: INSTITUTE LETTER ON SEC PROPOSAL TO ENHANCE DISCLOSURE IN THE MUNICIPAL SECURITIES MARKET __________________________________________________________ As we previously informed you, the...

July 14, 1994 TO: SEC RULES COMMITTEE NO. 78-94 STATE SECURITIES MEMBERS NO. 39-94 SUBCOMMITTEE ON ADVERTISING NO. 14-94 UNIT INVESTMENT TRUST COMMITTEE NO. 48-94 RE: INSTITUTE URGES VERMONT TO RECONSIDER POLICY STATEMENT ON PROSPECTUS WRAPPERS ________________________________________...

July 14, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 37-94 SEC RULES COMMITTEE NO. 77-94 RE: INSTITUTE COMMENT LETTER ON THE OPERATIONAL EDGAR SYSTEM __________________________________________________________ The Institute's comment letter on the operational EDGAR system is attached...

July 14, 1994 TO: BOARD OF GOVERNORS NO. 60-94 SEC RULES COMMITTEE NO. 76-94 SUBCOMMITTEE ON ADVERTISING NO. 13-94 RE: SEC ORDER APPROVING NASD RANKING GUIDELINES __________________________________________________________ The Securities and Exchange Commission recently adopted...