SEC Rules Content

April 4, 1994 TO: SEC RULES COMMITTEE NO. 45-94 RE: EXTENSION OF COMMENT PERIOD FOR PROPOSED AMENDMENTS TO MONEY MARKET FUND REGULATION __________________________________________________________ As we previously informed you, the Securities and Exchange Commission has proposed...

1 In its 1992 report on investment company regulation, the staff of the Division of Investment Management recommended that the Commission adopt proposed Rule 6c-10, "with certain modifications" relating to the mechanics of the rule. April 4, 1994 TO: SEC RULES COMMITTEE NO. 44-94 RE...

March 31, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 27-94 INVESTMENT ISSUES COMMITTEE NO. 6-94 SEC RULES COMMITTEE NO. 43-94 UNIT INVESTMENT TRUST COMMITTEE NO. 27-94 RE: DRAFT COMMENT LETTER ON LARGE TRADER REPORTING REPROPOSAL _______________________________________________________...

March 30, 1994 TO: SEC RULES COMMITTEE NO. 42-94 RE: DRAFT AGENDA FOR APRIL 12 MEETING __________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for April 12, 1994. The meeting will be held at the Ramada...

March 28, 1994 TO: SEC RULES COMMITTEE NO. 41-94 SUBCOMMITTEE ON ADVERTISING NO. 7-94 RE: SEC ORDER APPROVING NASD REQUIREMENTS FOR FILING OF INVESTMENT COMPANY SALES MATERIAL WITH A RANKING __________________________________________________________ As we previously informed you, the...

March 28, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 25-94 SEC RULES COMMITTEE NO. 40-94 STATE LIAISON COMMITTEE NO. 27-94 UNIT INVESTMENT TRUST COMMITTEE NO. 26-94 RE: COMMENTS REQUESTED FOR 1994 CONFERENCE ON UNIFORMITY OF FEDERAL-STATE SECURITIES REGULATION AGENDA _________________...

1 In 1991, the NASD amended its Rules of Fair Practice to require confirmation disclosure of the imposition of a deferred sales load upon redemptions of mutual fund shares, where applicable. March 23, 1994 TO: OPERATIONS COMMITTEE NO. 8-94 SEC RULES COMMITTEE NO. 38-94 TRANSFER AGENT...

March 23, 1994 TO: SEC RULES COMMITTEE NO. 39-94 UNIT INVESTMENT TRUST COMMITTEE NO. 25-94 RE: SEC PROPOSAL TO REQUIRE DISCLOSURE OF SIPC STATUS ON CONFIRM __________________________________________________________ The Securities and Exchange Commission has proposed amendments to Rule...

March 23, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 24-94 SEC RULES COMMITTEE NO. 37-94 STATE LIAISON COMMITTEE NO. 26-94 UNIT INVESTMENT TRUST COMMITTEE NO. 24-94 ILLINOIS MEMBERS RE: ILLINOIS LEGISLATION __________________________________________________________ As we previously...

March 21, 1994 TO: CLOSED-END FUND COMMITTEE NO. 8-94 SEC RULES COMMITTEE NO. 36-94 RE: INSTITUTE'S COMMENT LETTER ON PROXY RULE AMENDMENTS __________________________________________________________ The Institute has filed the attached comment letter with the SEC concerning the...