SEC Rules Content

June 16, 1994 TO: BOARD OF GOVERNORS NO. 51-94 SEC RULES COMMITTEE NO. 65-94 RE: CONGRESSMEN MARKEY AND FIELDS REQUEST SEC STUDY ON MUTUAL FUNDS' USE OF DERIVATIVES __________________________________________________________ The Chairman of the House Subcommittee on Telecommunications...

June 16, 1994 TO: SEC RULES COMMITTEE NO. 64-94 UNIT INVESTMENT TRUST COMMITTEE NO. 42-94 RE: INSTITUTE LETTER ON SEC PROPOSAL TO REQUIRE DISCLOSURE ON CONFIRMS OF LACK OF SIPC MEMBERSHIP __________________________________________________________ As we previously informed you, the...

June 15, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 31-94 OPERATIONS COMMITTEE NO. 12-94 SEC RULES COMMITTEE NO. 63-94 TAX COMMITTEE NO. 22-94 SUBCOMMITTEE ON PROPOSED RULE 6c-10 RE: INSTITUTE COMMENT LETTER ON PROPOSED RULE 6c-10 ____________________________________________________...

June 14, 1994 TO: RESEARCH COMMITTEE NO. 18-94 SEC RULES COMMITTEE NO. 62-94 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 13-94 RE: REQUEST FOR MARKET SURVEY RESEARCH __________________________________________________________ The North American Securities Administrators Association...

June 13, 1994 TO: CLOSED-END FUND COMMITTEE NO. 15-94 SEC RULES COMMITTEE NO. 61-94 RE: COURT FINDS PRIVATE RIGHTS OF ACTION UNDER SECTION 17(j) AND SECTION 36(a) __________________________________________________________ The United States District Court for the District of Delaware...

June 8, 1994 TO: SEC RULES COMMITTEE NO. 60-94 SUBCOMMITTEE ON CREDITORS' RIGHTS RE: SEC PROPOSAL TO EXEMPT LISTED DEBT SECURITIES FROM CERTAIN PROVISIONS __________________________________________________________ The Securities and Exchange Commission recently proposed new Rule 3a12...

May 31, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 27-94 SEC RULES COMMITTEE NO. 59-94 RE: SEC PROPOSED RULE TO PERMIT FUTURES COMMISSION MERCHANTS TO HOLD INVESTMENT COMPANY FUTURES MARGIN __________________________________________________________ The Securities and Exchange...

May 31, 1994 TO: SEC RULES COMMITTEE NO. 57-94 RE: INSTITUTE LETTER TO N.Y. ATTORNEY GENERAL CONCERNING MUTUAL FUNDS AND LEVERAGE __________________________________________________________ The Institute recently sent a letter to G. Oliver Koppell, the Attorney General of the State of...

May 31, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 26-94 SEC RULES COMMITTEE NO. 58-94 RE: RECOMMENDATIONS OF AICPA SUBCOMMITTEE ON SEPARATE REPORTING OF REALIZED AND UNREALIZED FOREIGN CURRENCY GAINS AND LOSSES __________________________________________________________ The AICPA...

May 23, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 35-94 SEC RULES COMMITTEE NO. 56-94 RE: SEC ADOPTS AMENDMENTS TO PUBLIC UTILITY HOLDING COMPANY ACT RULES __________________________________________________________ Last year, the Institute submitted a comment letter to the Securities...