SEC Rules Content

March 18, 1994 TO: CLOSED-END FUND COMMITTEE NO. 7-94 SEC RULES COMMITTEE NO. 35-94 STATE LIAISON COMMITTEE NO. 24-94 UNIT INVESTMENT TRUST COMMITTEE NO. 22-94 RE: INSTITUTE COMMENTS ON REVISED NASAA GUIDELINES FOR FUNDS INVESTING IN BELOW INVESTMENT GRADE BONDS ______________________...

March 18, 1994 TO: SEC RULES COMMITTEE NO. 34-94 UNIT INVESTMENT TRUST COMMITTEE NO. 21-94 SECONDARY MARKET DISCLOSURE TASK FORCE RE: SEC INTERPRETIVE RELEASE AND PROPOSED AMENDMENTS CONCERNING DISCLOSURE IN THE MUNICIPAL SECURITIES MARKET _____________________________________________...

1March 17, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 11-94 CLOSED-END FUND COMMITTEE NO. 6-94 CONTRACTUAL PLANS COMMITTEE NO. 2-94 DIRECT MARKETING COMMITTEE NO. 6-94 FEDERAL LEGISLATION COMMITTEE NO. 7-94 INDUSTRY STATISTICS COMMITTEE NO. 5-94 INTERNATIONAL COMMITTEE NO. 6-94...

March 11, 1994 TO: SEC RULES COMMITTEE NO. 30-94 STATE LIAISON COMMITTEE NO. 21-94 RE: WISCONSIN REQUESTING RESCISSION IF PROSPECTUSES ARE NOT APPROPRIATELY STICKERED __________________________________________________________ The Institute has been advised by several of its members...

March 11, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 21-94 SEC RULES COMMITTEE NO. 31-94 SOFT DOLLARS TASK FORCE RE: MARKET 2000 REPORT RECOMMENDS ENHANCED SOFT DOLLAR DISCLOSURE __________________________________________________________ The SEC Division of Market Regulation's...

March 11, 1994 TO: SEC RULES COMMITTEE NO. 32-94 SUBCOMMITTEE ON ADVERTISING NO. 5-94 RE: INSTITUTE COMMENT LETTER ON NASD GUIDELINES FOR RANKINGS IN MUTUAL FUND ADVERTISEMENTS __________________________________________________________ The Institute has filed a comment letter with the...

March 7, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 20-94 SEC RULES COMMITTEE NO. 29-94 RE: INSTITUTE LETTER ON SEC WRAP FEE PROPOSAL __________________________________________________________ As we previously informed you, the Securities and Exchange Commission recently proposed...

March 4, 1994 TO: SEC RULES COMMITTEE NO. 28-94 RE: NOTICE OF MEETING - APRIL 12, 1994 __________________________________________________________ A meeting of the SEC Rules Committee has been scheduled for 10:00 a.m. on Tuesday, April 12, 1994 at the Ramada Renassiance TechWorld, 999...

March 2, 1994 TO: SEC RULES COMMITTEE NO. 26-94 STATE SECURITIES MEMBERS NO. 8-94 UNIT INVESTMENT TRUST COMMITTEE NO. 17-94 RE: MISSOURI RESCINDS PROPOSED RULE AND AMENDS EXISTING REGISTRATION RULE __________________________________________________________ The Institute is pleased to...

March 2, 1994 TO: INTERNATIONAL COMMITTEE NO. 4-94 SEC RULES COMMITTEE NO. 27-94 RE: EMERGING MARKETS TASK FORCE __________________________________________________________ The Institute is considering forming a task force of interested members of the SEC Rules Committee and the...