SEC Rules Content

October 7, 1993 TO: BOARD OF GOVERNORS NO. 90-93 SEC RULES COMMITTEE NO. 88-93 RE: SEC RESPONSE TO CHAIRMAN DINGELL’S INQUIRY ABOUT CERTAIN PRACTICES INVOLVING 12b-1 FEES __________________________________________________________ Congressman John Dingell, Chairman of the House Energy...

October 6, 1993 TO: SEC RULES COMMITTEE NO. 87-93 STATE LIAISON COMMITTEE NO. 46-93 UNIT INVESTMENT TRUST COMMITTEE NO. 49-93 RE: MISSOURI PROPOSES NEW REGISTRATION PROCEDURE FOR INVESTMENT COMPANIES __________________________________________________________ The Missouri Securities...

October 5, 1993 TO: INTERNATIONAL COMMITTEE NO. 20-93 SEC RULES COMMITTEE NO. 86-93 RE: NEVER SENT __________________________________________________________ Enclosed is the final conference program for the Institute’s first annual conference on Foreign Marketing and Investing, to be...

October 5, 1993 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 31-93 ACCOUNTING/TREASURERS MEMBERS NO. 29-93 BROKER/DEALER ADVISORY COMMITTEE NO. 29-93 BROKER/DEALER ASSOCIATE MEMBERS NO. 25-93 COMPLIANCE COMMITTEE NO. 24-93 CUSTODIAN ADVISORY COMMITTEE NO. 2-93 DIRECT MARKETING COMMITTEE NO...

October 1, 1993 TO: BOARD OF GOVERNORS NO. 87-93 SEC RULES COMMITTEE NO. 84-93 STATE LIAISON COMMITTEE NO. 43-93 RE: CHAIRMAN LEVITT CALLS FOR GREATER SELF-SCRUTINY BY FUND INDUSTRY AT NASAA FALL CONFERENCE __________________________________________________________ Securities and...

September 23, 1993 TO: CLOSED-END FUND COMMITTEE NO. 22-93 SEC RULES COMMITTEE NO. 82-93 UNIT INVESTMENT TRUST COMMITTEE NO. 46-93 RE: SEC PROPOSES AMENDMENTS TO PROCEDURES FOR FILING POST- EFFECTIVE AMENDMENTS __________________________________________________________ The Securities...

September 23, 1993 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 29-93 SEC RULES COMMITTEE NO. 83-93 RE: SEC SOLICITS COMMENTS ON FEE STRUCTURE FOR NASD REPORTING SYSTEM FOR HIGH YIELD BONDS __________________________________________________________ As we previously advised you, on March 19...

September 22, 1993 TO: SEC RULES COMMITTEE NO. 81-93 STATE LIAISON COMMITTEE NO. 41-93 UNIT INVESTMENT TRUST COMMITTEE NO. 45-93 RE: UPDATE ON NASAA ELECTRONIC FILING SYSTEM __________________________________________________________ As you know, for the past several years, the...

September 20, 1993 TO: SEC RULES COMMITTEE NO. 80-93 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED RULE 3a-8 __________________________________________________________ As we previously informed you, the Securities and Exchange Commission has proposed Rule 3a-8 under the Investment...

September 20, 1993 TO: INTERNATIONAL COMMITTEE NO. 17-93 SEC RULES COMMITTEE NO. 79-93 AD HOC SUBCOMMITTEE ON RULE 17f-5 RE: DRAFT LETTER TO SEC STAFF REGARDING RULE 17f-5’S DEFINITION OF ELIGIBLE FOREIGN CUSTODIAN __________________________________________________________ As...