SEC Rules Content

May 23, 1994 TO: BOARD OF GOVERNORS NO. 44-94 SEC RULES COMMITTEE NO. 55-94 RE: NASD ISSUES ANOTHER NOTICE ON DISCLOSURE REQUIREMENTS FOR CASH/NON-CASH COMPENSATION ARRANGEMENTS __________________________________________________________ The NASD recently issued the attached Notice to...

May 12, 1994 TO: BOARD OF GOVERNORS NO. 40-94 FEDERAL LEGISLATION COMMITTEE NO. 11-94 FEDERAL LEGISLATION MEMBERS NO. 9-94 SEC RULES COMMITTEE NO. 54-94 INVESTMENT COMPANY ACT REFORM ISSUES GROUP RE: INSTITUTE SUPPORTS SEC SELF-FUNDING; OPPOSES ADMINISTRATION'S PROPOSED BUDGET FOR SEC...

May 11, 1994 TO: RESEARCH COMMITTEE NO. 14-94 SEC RULES COMMITTEE NO. 53-94 RE: NASAA FORMS DISCLOSURE REFORM COMMITTEE __________________________________________________________ The North American Securities Administrators Association (NASAA) recently formed a Disclosure Reform...

May 6, 1994 TO: BOARD OF GOVERNORS NO. 38-94 MONEY MARKET FUNDS AD HOC COMMITTEE NO. 12-94 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 3-94 SEC RULES COMMITTEE NO. 52-94 RE: INSTITUTE LETTER ON PROPOSED AMENDMENTS TO MONEY MARKET FUND REGULATION ________________________________________...

May 3, 1994 TO: CLOSED-END FUND COMMITTEE NO. 10-94 INVESTMENT ADVISERS COMMITTEE NO. 32-94 SEC RULES COMMITTEE NO. 51-94 UNIT INVESTMENT TRUST COMMITTEE NO. 32-94 RE: SEC SEMI-ANNUAL REGULATORY AGENDA __________________________________________________________ The SEC recently...

April 28, 1994 TO: SEC RULES COMMITTEE NO. 50-94 RE: FORMATION OF 6c-10 SUBCOMMITTEE; MEETING ON MAY 12 __________________________________________________________ At the meeting of the SEC Rules Committee on April 12, there was a discussion of whether significant issues remain under...

April 20, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 30-94 INVESTMENT ISSUES COMMITTEE NO. 8-94 SEC RULES COMMITTEE NO. 49-94 RE: INSTITUTE COMMENT LETTER ON LARGE TRADER REPROPOSAL __________________________________________________________ The Institute has filed the attached comment...

1April 15, 1994 TO: BOARD OF GOVERNORS NO. 32-94 FEDERAL LEGISLATION COMMITTEE NO. 9-94 FEDERAL LEGISLATION MEMBERS NO. 7-94 SEC RULES COMMITTEE NO. 47-94 INVESTMENT COMPANY ACT REFORM ISSUES GROUP BANK LEGISLATIVE ISSUES GROUP BANK INVESTMENT MANAGEMENT MEMBERS NO. 19-94 RE...

April 15, 1994 TO: BOARD OF GOVERNORS NO. 33-94 INVESTMENT ADVISER MEMBERS NO. 17-94 SEC RULES COMMITTEE NO. 48-94 STATE SECURITIES MEMBERS NO. 18-94 UNIT INVESTMENT TRUST COMMITTEE NO. 30-94 RE: INSTITUTE COMMENT LETTER ON 1994 CONFERENCE ON FEDERAL- STATE SECURITIES REGULATION _____...

April 14, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 17-94 SEC RULES COMMITTEE NO. 46-94 RE: INSTITUTE LETTER HIGHLIGHTING EDGAR FILER PROBLEMS __________________________________________________________ The Institute recently conducted a review of the electronic filing experience of...