SEC Rules Content

November 1, 1993 TO: CLOSED-END FUND COMMITTEE NO. 25-93 INVESTMENT ADVISERS COMMITTEE NO. 31-93 SEC RULES COMMITTEE NO. 98-93 UNIT INVESTMENT TRUST COMMITTEE NO. 54-93 RE: SEC SEMI-ANNUAL REGULATORY AGENDA __________________________________________________________ The SEC recently...

October 29, 1993 TO: SEC RULES COMMITTEE NO. 96-93 RE: INSTITUTE COMMENTS ON PROPOSED REVISION TO UCC ARTICLE 8 __________________________________________________________ For the past several months, the Institute has been reviewing the proposed revisions to Article 8 of the Uniform...

October 29, 1993 TO: SEC RULES COMMITTEE NO. 97-93 STATE LIAISON COMMITTEE NO. 50-93 UNIT INVESTMENT TRUST COMMITTEE NO. 52-93 RE: INSTITUTE COMMENTS ON PROPOSED MISSOURI REGISTRATION PROCEDURE __________________________________________________________ As you know, the Missouri...

October 27, 1993 TO: INTERNATIONAL COMMITTEE NO. 23-93 SEC RULES COMMITTEE NO. 95-93 AD HOC SUBCOMMITTEE ON RULE 17F-5 RE: LETTER TO SEC STAFF REGARDING RULE 17f-5’S DEFINITION OF ELIGIBLE FOREIGN CUSTODIAN __________________________________________________________ On October 13, the...

October 25, 1993 TO: SEC RULES COMMITTEE NO. 94-93 STATE LIAISON COMMITTEE NO. 48-93 RE: INSTITUTE DRAFT COMMENT LETTER ON MISSOURI PROPOSAL __________________________________________________________ As we previously advised you, the Missouri Office of the Secretary of State issued a...

October 25, 1993 TO: COMPLIANCE COMMITTEE NO. 26-93 INVESTMENT ADVISERS COMMITTEE NO. 29-93 SEC RULES COMMITTEE NO. 93-93 RE: SEC SANCTIONS MUTUAL FUND ADVISER FOR VIOLATIONS OF THE 1940 ACT __________________________________________________________ The Securities and Exchange...

October 19, 1993 TO: SEC RULES COMMITTEE NO. 92-93 RE: DRAFT LETTER TO SEC STAFF RE APPLICATION OF RULE 12d3-1 TO REPURCHASE AGREEMENTS __________________________________________________________ Attached is a draft letter to the SEC’s Division of Investment Management regarding the...

October 18, 1993 TO: BOARD OF GOVERNORS NO. 93-93 INVESTMENT ADVISERS COMMITTEE NO. 28-93 SEC RULES COMMITTEE NO. 91-93 UNIT INVESTMENT TRUST COMMITTEE NO. 51-93 RE: SPEECH BY SEC COMMISSIONER ROBERTS CONCERNING INVESTMENT COMPANY AND INVESTMENT ADVISER ISSUES ________________________...

October 12, 1993 TO: SEC RULES COMMITTEE NO. 90-93 MARKET 2000 TASK FORCE RE: SEC PROPOSES RULE ON PAYMENT FOR ORDER FLOW __________________________________________________________ The Securities and Exchange Commission recently proposed amendments to Rule 10b-10 and proposed Rule...

October 12, 1993 TO: SEC RULES COMMITTEE NO. 89-93 RE: DRAFT AGENDA FOR OCTOBER 19 MEETING __________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for October 19, 1993. The meeting will be held at the...