SEC Rules Content

September 17, 1993 TO: SEC RULES COMMITTEE NO. 78-93 RE: MEETING TO DISCUSS PROPOSED REVISION OF UCC ARTICLE 8 __________________________________________________________ As you know, a drafting committee was formed by the National Conference of Commissioners on Uniform States Laws (...

September 10, 1993 TO: DIRECT MARKETING COMMITTEE NO. 49-93 INDUSTRY STATISTICS COMMITTEE NO. 13-93 MARKETING POLICY COMMITTEE NO. 40-93 OPERATIONS COMMITTEE NO. 31-93 PUBLIC INFORMATION COMMITTEE NO. 52-93 SEC RULES COMMITTEE NO. 77-93 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 39-93...

August 20, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 26-93 COMPLIANCE COMMITTEE NO. 18-93 OPERATIONS COMMITTEE NO. 28-93 SEC RULES COMMITTEE NO. 75-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 44-93 UNIT INVESTMENT TRUST COMMITTEE NO. 35-93 RE: UPDATE ON PROPOSED FEDERAL TELEMARKETING...

August 20, 1993 TO: CLOSED-END FUND COMMITTEE NO. 20-93 SEC RULES COMMITTEE NO. 76-93 STATE LIAISON COMMITTEE NO. 34-93 UNIT INVESTMENT TRUST COMMITTEE NO. 36-93 RE: INSTITUTE COMMENTS ON PROPOSED NASAA GUIDELINES FOR INVESTMENT COMPANIES INVESTING IN JUNK OR DEFAULTED BONDS _________...

August 20, 1993 TO: OPERATIONS COMMITTEE NO. 27-93 SEC RULES COMMITTEE NO. 74-93 STATE LIAISON COMMITTEE NO. 32-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 43-93 RE: INSTITUTE COMMENTS ON NASAA REVISED TELEPHONE TRANSACTION GUIDELINES _____________________________________________________...

August 19, 1993 TO: SEC RULES COMMITTEE NO. 73-93 RE: NOTICE OF MEETING, OCTOBER 19, 1993 __________________________________________________________ A meeting of the SEC Rules Committee has been scheduled for 10:00 a.m. on Tuesday, October 19, 1993 at the University Club, 1135 16th...

August 10, 1993 TO: BOARD OF GOVERNORS NO. 71-93 FEDERAL LEGISLATION COMMITTEE NO. 27-93 FEDERAL LEGISLATION MEMBERS NO. 25-93 SEC RULES COMMITTEE NO. 72-93 RE: SEC CHAIRMAN LEVITT TESTIFIES ON MUTUAL FUND INDUSTRY __________________________________________________________ Last week...

August 2, 1993 TO: CLOSED-END FUND COMMITTEE NO. 19-93 COMPLIANCE COMMITTEE NO. 16-93 INVESTMENT ADVISERS COMMITTEE NO. 22-93 SEC RULES COMMITTEE NO. 70-93 RE: INSTITUTE LETTER ON PROPOSED AMENDMENTS TO NASD FREE-RIDING AND WITHHOLDING INTERPRETATION __________________________________...

August 2, 1993 TO: BOARD OF GOVERNORS NO. 68-93 DIRECT MARKETING COMMITTEE NO. 41-93 SEC RULES COMMITTEE NO. 71-93 SUBCOMMITTEE ON ADVERTISING NO. 15-93 RE: INSTITUTE'S SUPPLEMENTAL COMMENT LETTER ON SEC SUMMARY PROSPECTUS PROPOSAL AND THE TRUTH IN SAVINGS ACT ________________________...

July 30, 1993 TO: DIRECT MARKETING COMMITTEE NO. 40-93 INDUSTRY STATISTICS COMMITTEE NO. 12-93 MARKETING POLICY COMMITTEE NO. 31-93 OPERATIONS COMMITTEE NO. 24-93 PUBLIC INFORMATION COMMITTEE NO. 40-93 SALES FORCE MARKETING COMMITTEE NO. 39-93 SEC RULES COMMITTEE NO. 69-93 SHAREHOLDER...