SEC Rules Content

July 30, 1993 TO: BANK INVESTMENT MANAGEMENT MEMBERS NO. 17-93 SEC RULES COMMITTEE NO. 68-93 STATE LIAISON COMMITTEE NO. 30-93 RE: INSTITUTE SUBMITS MEMORANDUM TO NASAA ON BANK SALES OF MUTUAL FUNDS __________________________________________________________ Three separate committees...

July 22, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 21-93 SEC RULES COMMITTEE NO. 67-93 DERIVATIVE INSTRUMENTS SUBCOMMITTEE RE: INSTITUTE COMMENT LETTER ON CFTC BUNCHED ORDER PROPOSAL __________________________________________________________ As we previously informed you, the...

July 21, 1993 TO: BANK INVESTMENT MANAGEMENT MEMBERS NO. 16-93 BOARD OF GOVERNORS NO. 63-93 SEC RULES COMMITTEE NO. 66-93 TASK FORCE ON BANK SALES ACTIVITIES RE: INSTITUTE GUIDELINES ON BANK SALES OF MUTUAL FUNDS __________________________________________________________ As you may...

July 16, 1993 TO: SEC RULES COMMITTEE NO. 65-93 RE: SEC PROPOSED RULE 3a-8 TO EXEMPT CERTAIN RESEARCH AND DEVELOPMENT COMPANIES FROM THE INVESTMENT COMPANY ACT __________________________________________________________ The Securities and Exchange Commission recently proposed Rule 3a-8...

July 14, 1993 TO: INTERNATIONAL COMMITTEE NO. 16-93 SEC RULES COMMITTEE NO. 64-93 RE: INSTITUTE COMMENT LETTER ON SEC PROPOSAL TO EXCEPT RULE 144A DISTRIBUTIONS FROM TRADING RULES PROHIBITIONS __________________________________________________________ The Institute has submitted the...

July 13, 1993 TO: SEC RULES COMMITTEE NO. 63-93 RE: INVESTMENT COMPANY ISSUES UNDER THE PROPOSED REVISION TO ARTICLE 8 OF THE UNIFORM COMMERCIAL CODE __________________________________________________________ As we previously advised you, a drafting committee was formed by the...

July 12, 1993 TO: CLOSED-END FUND COMMITTEE NO. 18-93 SEC RULES COMMITTEE NO. 62-93 STATE LIAISON COMMITTEE NO. 27-93 UNIT INVESTMENT TRUST COMMITTEE NO. 30-93 RE: NASAA COMMITTEE ISSUES PROPOSED "GUIDELINES FOR INVESTMENT COMPANIES INVESTING IN JUNK BONDS FOR DEFAULTED BONDS" _______...

July 9, 1993 TO: COMPLIANCE COMMITTEE NO. 15-93 INSTITUTIONAL FUNDS COMMITTEE NO. 7-93 SEC RULES COMMITTEE NO. 60-93 STATE LIAISON COMMITTEE NO. 25-93 UNIT INVESTMENT TRUST COMMITTEE NO. 29-93 RE: INSTITUTE MEETS WITH NEBRASKA ATTORNEY GENERAL TO DISCUSS BANK SALES OF MUTUAL FUNDS ___...

July 9, 1993 TO: OPERATIONS COMMITTEE NO. 23-93 SEC RULES COMMITTEE NO. 61-93 STATE LIAISON COMMITTEE NO. 26-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 38-93 RE: NASAA COMMITTEE ISSUES REVISED PROPOSED TELEPHONE GUIDELINES FOR PUBLIC COMMENT _____________________________________________...

July 2, 1993 TO: BOARD OF GOVERNORS NO. 60-93 OPERATIONS COMMITTEE NO. 22-93 SEC RULES COMMITTEE NO. 59-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 37-93 UNIT INVESTMENT TRUST COMMITTEE NO. 28-93 T+3 SETTLEMENT TASK FORCE RE: INSTITUTE COMMENT LETTER ON T+3 SETTLEMENT PROPOSAL __________...