SEC Rules Content

March 2, 1994 TO: BOARD OF GOVERNORS NO. 21-94 SEC RULES COMMITTEE NO. 25-94 RE: SEC COMMISSIONER ROBERTS' SPEECH ON DIRECTORS' RESPONSIBILITIES __________________________________________________________ Securities and Exchange Commissioner Richard Roberts recently delivered a speech...

March 1, 1994 TO: CLOSED-END FUND COMMITTEE NO. 4-94 SEC RULES COMMITTEE NO. 24-94 RE: INSTITUTE'S DRAFT COMMENT LETTER ON PROXY RULE AMENDMENTS __________________________________________________________ Attached for your review is a draft comment letter to the SEC concerning the...

February 28, 1994 TO: INVESTMENT ISSUES COMMITTEE NO. 4-94 SEC RULES COMMITTEE NO. 23-94 RE: CONGRESSMAN LEACH INTRODUCES DERIVATIVES LEGISLATION __________________________________________________________ Congressman James Leach (R-IA) recently introduced H.R. 3748, the "Derivatives...

February 28, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 8-94 BOARD OF GOVERNORS NO. 20-94 OPERATIONS COMMITTEE NO. 5-94 SEC RULES COMMITTEE NO. 22-94 RE: INSTITUTE COMMENT LETTER ON SEC'S MULTIPLE CLASS AND MASTER-FEEDER FUND PROPOSAL ________________________________________________...

February 25, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 16-94 SEC RULES COMMITTEE NO. 21-94 RE: CHANGE TO DRAFT COMMENT LETTER ON SEC WRAP FEE PROPOSAL __________________________________________________________ The Institute recently sent out for comment a draft letter on the SEC's...

1 See Memorandum to SEC Rules Committee No. 52-91 and Investment Issues Committee No. 10-91, dated August 30, 1991; Memorandum to Investment Advisers Committee No. 44-91, dated September 12, 1991; and Memorandum to Unit Investment Trust Committee No. 31-91, dated September 25, 1991. 2...

February 24, 1994 TO: SEC RULES COMMITTEE NO. 20-94 STATE LIAISON COMMITTEE NO. 17-94 UNIT INVESTMENT TRUST COMMITTEE NO. 15-94 ILLINOIS MEMBERS RE: MAJOR OVERHAUL OF ILLINOIS SECURITIES ACT PROPOSED __________________________________________________________ The Illinois Secretary of...

February 23, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 13-94 SEC RULES COMMITTEE NO. 17-94 RE: DRAFT COMMENT LETTER ON SEC WRAP FEE PROPOSAL __________________________________________________________ As we previously informed you, the Securities and Exchange Commission (the...

February 23, 1994 TO: SEC RULES COMMITTEE NO. 18-94 RE: SEC SANCTIONS BDC DIRECTOR FOR FAILURE TO EVALUATE PORTFOLIO SECURITIES __________________________________________________________ The Securities and Exchange Commission recently sanctioned a director of a business development...

February 16, 1994 TO: CLOSED-END FUND COMMITTEE NO. 3-94 SEC RULES COMMITTEE NO. 16-94 STATE LIAISON COMMITTEE NO. 15-94 UNIT INVESTMENT TRUST COMMITTEE NO. 12-94 RE: NASAA COMMITTEE ISSUES REVISED JUNK BOND GUIDELINES FOR PUBLIC COMMENT _______________________________________________...