SEC Rules Content

February 10, 1994 TO: SEC RULES COMMITTEE NO. 15-94 STATE LIAISON COMMITTEE NO. 13-94 UNIT INVESTMENT TRUST COMMITTEE NO. 10-94 RE: REQUEST FOR COMMENTS ISSUED BY MASSACHUSETTS STAFF __________________________________________________________ Last August, the Institute requested...

February 10, 1994 TO: MONEY MARKET FUNDS AD HOC COMMITTEE NO. 4-94 SEC RULES COMMITTEE NO. 14-94 RE: FEBRUARY 17 MEETING ON PROPOSED AMENDMENTS TO RULE 2a-7 __________________________________________________________ As you know, the Institute held a meeting on February 8, 1994 to...

February 8, 1994 TO: BOARD OF GOVERNORS NO. 14-94 INVESTMENT ADVISERS COMMITTEE NO. 12-94 SEC RULES COMMITTEE NO. 13-94 MARKET 2000 TASK FORCE RE: SEC RELEASES MARKET 2000 REPORT __________________________________________________________ The Securities and Exchange Commission recently...

February 4, 1994 TO: BOARD OF GOVERNORS NO. 13-94 SEC RULES COMMITTEE NO. 10-94 RE: CHAIRMAN LEVITT'S REMARKS ON PRIVATE SECURITIES LITIGATION __________________________________________________________ At a recent meeting of the Securities Regulation Institute, SEC Chairman Arthur...

February 4, 1994 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 5-94 OPERATIONS COMMITTEE NO. 3-94 SEC RULES COMMITTEE NO. 11-94 RE: DRAFT INSTITUTE COMMENT LETTER ON SEC MULTIPLE CLASS AND MASTER-FEEDER FUND PROPOSAL __________________________________________________________ As we...

*Rule 17j-1 under the Investment Company of 1940 and the Institute's drafting guides for Codes of Ethics and Prevention of Insider Trading generally defines "access persons" to include any director, officer, general partner or advisory person of a fund. URGENT ACTION REQUESTED...

1January 19, 1994 TO: INVESTMENT ADVISERS COMMITTEE NO. 4-94 SEC RULES COMMITTEE NO. 9-94 RE: SEC PROPOSES AMENDMENTS TO FORM ADV TO REQUIRE DISCLOSURE REGARDING WRAP FEE AND ASSET ALLOCATION PROGRAMS __________________________________________________________ The Securities and...

January 18, 1994 TO: BANK INVESTMENT MANAGEMENT MEMBERS NO. 3-94 BOARD OF GOVERNORS NO. 8-94 INVESTMENT ADVISERS COMMITTEE NO. 3-94 SEC RULES COMMITTEE NO. 8-94 STATE LIAISON COMMITTEE NO. 6-94 RE: RECENT SPEECH BY SEC COMMISSIONER ROBERTS _____________________________________________...

January 14, 1994 TO: MONEY MARKET FUNDS AD HOC COMMITTEE NO. 2-94 SEC RULES COMMITTEE NO. 7-94 AD HOC COMMITTEE ON 12b-1 ISSUES RE: INSTITUTE COMMENT LETTER ON EXEMPTION FROM DISCLOSURE REQUIREMENT UNDER NASD ASSET-BASED SALES CHARGE RULE ______________________________________________...

January 13, 1994 TO: SEC RULES COMMITTEE NO. 6-94 RE: DRAFT AGENDA FOR FEBRUARY 1 MEETING __________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for February 1, 1994. The meeting will be held at the...