SEC Rules Content

January 12, 1994 TO: SEC RULES COMMITTEE NO. 5-94 STATE LIAISON COMMITTEE NO. 5-94 SUBCOMMITTEE ON ADVERTISING NO. 1-94 UNIT INVESTMENT TRUST COMMITTEE NO. 3-94 RE: UPDATE ON NASAA SALES PRACTICES COMMITTEE'S PROJECTS __________________________________________________________ As you...

January 4, 1994 TO: MONEY MARKET FUNDS AD HOC COMMITTEE NO. 1-94 SEC RULES COMMITTEE NO. 4-94 RE: FEBRUARY 8 MEETING ON PROPOSED AMENDMENTS TO MONEY MARKET FUND REGULATION __________________________________________________________ The Institute has scheduled a meeting for February 8...

December 30, 1993 TO: MONEY MARKET FUNDS AD HOC COMMITTEE NO. 11-93 SEC RULES COMMITTEE NO. 116-93 AD HOC COMMITTEE ON 12b-1 ISSUES RE: SEC SEEKS COMMENT ON EXEMPTION FOR MONEY MARKET FUNDS FROM DISCLOSURE REQUIREMENT UNDER ASSET - BASED SALES CHARGE RULE _____________________________...

1December 27, 1993 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 40-93 OPERATIONS COMMITTEE NO. 36-93 SEC RULES COMMITTEE NO. 115-93 RE: SEC PROPOSED RULES GOVERNING MULTIPLE CLASS AND MASTER-FEEDER FUNDS __________________________________________________________ The Securities and Exchange...

December 23, 1993 TO: MONEY MARKET FUNDS AD HOC COMMITTEE NO. 10-93 SEC RULES COMMITTEE NO. 113-93 RE: SEC PROPOSES AMENDMENTS TO TAX-EXEMPT MONEY MARKET FUND REGULATION __________________________________________________________ The Securities and Exchange Commission has proposed...

1December 23, 1993 TO: CLOSED-END FUND COMMITTEE NO. 28-93 SEC RULES COMMITTEE NO. 114-93 RE: SEC PROPOSES AMENDMENTS TO INVESTMENT COMPANY PROXY RULES __________________________________________________________ The Securities and Exchange Commission has issued proposed amendments to...

December 20, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 36-93 SEC RULES COMMITTEE NO. 112-93 STATE LIAISON COMMITTEE NO. 56-93 UNIT INVESTMENT TRUST COMMITTEE NO. 60-93 RE: NASAA COMMITTEE CONSIDERING PROPOSAL TO REQUIRE DISCLOSURE OF SALES LOAD ON CONFIRMATION ____________________...

December 16, 1993 TO: SEC RULES COMMITTEE NO. 111-93 SUBCOMMITTEE ON ADVERTISING NO. 21-93 RE: INSTITUTE LETTER TO SEC ON MUTUAL FUND VOLATILITY RATING __________________________________________________________ As you may know, several nationally-recognized statistical rating...

December 9, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 38-93 SEC RULES COMMITTEE NO. 110-93 RE: INSTITUTE COMMENTS ON NASAA AMENDMENTS TO FORM ADV RELATING TO WRAP FEE DISCLOSURES __________________________________________________________ As you may recall, in November the Board of...

December 1, 1993 TO: SEC RULES COMMITTEE NO. 109-93 STATE LIAISON COMMITTEE NO. 55-93 RE: INSTITUTE REQUESTS REPEAL OR MODIFICATION OF CALIFORNIA INVESTMENT LIMITATION IN OPTIONS OR FUTURES __________________________________________________________ The Institute recently submitted the...