SEC Rules Content

July 13, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 36-94 INDEPENDENT ACCOUNTANTS ADV. GROUP NO. 6-94 INVESTMENT ISSUES COMMITTEE NO. 11-94 SEC RULES COMMITTEE NO. 75-94 RE: INSTITUTE COMMENT LETTER ON FASB EXPOSURE DRAFT, DISCLOSURE ABOUT DERIVATIVE FINANCIAL INSTRUMENTS AND FAIR...

July 12, 1994 TO: COMPLIANCE COMMITTEE NO. 13-94 SEC RULES COMMITTEE NO. 74-94 RE: INSTITUTE MEETING ON RECOMMENDATIONS OF THE ADVISORY GROUP ON PERSONAL INVESTING __________________________________________________________ As you may know, the Institute's Board of Governors recently...

July 7, 1994 TO: SEC RULES COMMITTEE NO. 73-94 STATE SECURITIES MEMBERS NO. 35-94 SUBCOMMITTEE ON ADVERTISING NO. 12-94 UNIT INVESTMENT TRUST COMMITTEE NO. 47-94 RE: VERMONT ISSUES POLICY STATEMENT ON MUTUAL FUND WRAPPERS __________________________________________________________ The...

July 6, 1994 TO: BOARD OF GOVERNORS NO. 59-94 SEC RULES COMMITTEE NO. 72-94 RE: SEC COMMISSIONER'S SPEECH ON CURRENT ISSUES FOR FUND DIRECTORS __________________________________________________________ SEC Commissioner Roberts recently delivered a speech on some current issues in the...

July 5, 1994 TO: BOARD OF GOVERNORS NO. 58-94 SEC RULES COMMITTEE NO. 71-94 STATE LIAISON COMMITTEE NO. 41-94 RE: NASAA LETTER ON SUMMARY PROSPECTUS PROPOSAL; INSTITUTE RESPONSE __________________________________________________________ The Investment Companies Committee of the North...

June 30, 1994 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 PUBLIC...

June 23, 1994 TO: BOARD OF GOVERNORS No. 55-94 SEC RULES COMMITTEE No. 69-94 RE: CHAIRMAN LEVITTGS LETTERS ON MUTUAL FUND INVESTMENT IN DERIVATIVES; INSTITUTEGS RESPONSE _____________________________________________________________________________ Securities and Exchange Commission...

June 22, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 34-94 SEC RULES COMMITTEE NO. 68-94 DERIVATIVE INSTRUMENTS SUBCOMMITTEE RE: JULY 13TH MEETING ON SEC PROPOSED RULE 17f-6 __________________________________________________________ As we previously informed you, the Securities and...

June 21, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 33-94 SEC RULES COMMITTEE NO. 67-94 RE: SEC REQUEST FOR COMMENT ON THE EDGAR SYSTEM __________________________________________________________ The Securities and Exchange Commission is requesting public comment on the Electronic...

June 20, 1994 TO: SEC RULES COMMITTEE NO. 66-94 UNIT INVESTMENT TRUST COMMITTEE NO. 43-94 SECONDARY MARKET DISCLOSURE TASK FORCE RE: DRAFT LETTER ON SEC PROPOSAL CONCERNING DISCLOSURE IN THE MUNICIPAL SECURITIES MARKET __________________________________________________________ As we...