SEC Rules Content

November 26, 1993 TO: SEC RULES COMMITTEE NO. 108-93 UNIT INVESTMENT TRUST COMMITTEE NO. 58-93 RE: INSTITUTE COMMENT LETTER ON SEC'S PROPOSED AMENDMENTS TO RULE 485 __________________________________________________________ As we previously reported, the Securities and Exchange...

November 23, 1993 TO: BOARD OF GOVERNORS NO. 110-93 SEC RULES COMMITTEE NO. 107-93 RE: SENATE PASSES SMALL BUSINESS LEGISLATION __________________________________________________________ The Senate recently passed S. 479, the "Small Business Incentive Act of 1993". The bill is...

November 11, 1993 TO: SEC RULES COMMITTEE NO. 104-93 UNIT INVESTMENT TRUST COMMITTEE NO. 56-93 RE: PROPOSED INSTITUTE COMMENT LETTER ON SEC’S PROPOSED AMENDMENTS TO RULE 485 __________________________________________________________ As we previously reported, the Securities and...

November 11, 1993 TO: SEC RULES COMMITTEE NO. 105-93 STATE LIAISON COMMITTEE NO. 53-93 RE: INSTITUTE MEETS WITH MISSOURI COMMISSIONER ON PROPOSED RULE __________________________________________________________ On November 8th, the Institute met with the Missouri Commissioner of...

November 11, 1993 TO: BOARD OF GOVERNORS NO. 102-93 FEDERAL LEGISLATION COMMITTEE NO. 38-93 FEDERAL LEGISLATION MEMBERS NO. 35-93 MEMBERS - ONE PER COMPLEX NO. 76-93 SEC RULES COMMITTEE NO. 106-93 MUTUAL FUND HEARINGS ISSUES GROUP RE: SEC CHAIRMAN, INSTITUTE AND INDUSTRY WITNESSES...

November 10, 1993 TO: SEC RULES COMMITTEE NO. 103-93 RE: SPECIAL MEETING SCHEDULED DURING THE 1993 ICI SECURITIES LAW PROCEDURES CONFERENCE __________________________________________________________ As in the past, members of the staff of the Division of Investment Management at the...

* See Memorandum to Board of Governors No. 7-92, International Committee No. 2-92 and SEC Rules Committee No. 5-92, dated January 23, 1992; Memorandum to Board of Governors No. 55-91, SEC Rules Committee No. 43-91 and International Committee No. 17-91, dated July 30, 1991; Memorandum...

November 5, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 33-93 SEC RULES COMMITTEE NO. 100-93 RE: PROPOSED NASAA AMENDMENTS TO FORM ADV RELATING TO WRAP FEE DISCLOSURES __________________________________________________________ The Board of Directors of the North American Securities...

November 2, 1993 TO: SEC RULES COMMITTEE NO. 99-93 RE: INSTITUTE TO FORM TASK FORCE TO REVIEW BONDING REQUIREMENTS __________________________________________________________ At the SEC Rules Committee meeting, the Institute was asked to consider approaching the Division of Investment...