SEC Rules Content

June 30, 1993 TO: SEC RULES COMMITTEE NO. 58-93 RE: INSTITUTE COMMENT LETTER ON SEC PROPOSED EXPEDITED REVIEW PROCEDURE __________________________________________________________ The Institute has submitted the attached comment letter on the SEC's proposed expedited review procedure...

June 30, 1993 TO: COMPLIANCE COMMITTEE NO. 13-93 INVESTMENT ADVISERS COMMITTEE NO. 20-93 SEC RULES COMMITTEE NO. 57-93 RE: SEC FURTHER CLARIFIES ROLE OF SUPERVISORS __________________________________________________________ As you may know, in administrative proceedings last year...

June 24, 1993 TO: BOARD OF GOVERNORS NO. 55-93 DIRECT MARKETING COMMITTEE NO. 35-93 SEC RULES COMMITTEE NO. 56-93 SUBCOMMITTEE ON ADVERTISING NO. 14-93 RE: INSTITUTE COMMENT LETTER ON SEC SUMMARY PROSPECTUS PROPOSAL __________________________________________________________ As we...

June 23, 1993 TO: CLOSED-END FUND COMMITTEE NO. 17-93 COMPLIANCE COMMITTEE NO. 12-93 INVESTMENT ADVISERS COMMITTEE NO. 15-93 SEC RULES COMMITTEE NO. 55-93 RE: NASD PROPOSES AMENDMENTS TO FREE-RIDING AND WITHHOLDING INTERPRETATION _______________________________________________________...

June 14, 1993 TO: CLOSED-END FUND COMMITTEE NO. 16-93 SEC RULES COMMITTEE NO. 54-93 RE: INSTITUTE LETTER ON PROPOSED OFFERING AND REGISTRATION RULES FOR INTERVAL FUNDS __________________________________________________________ As we previously informed you, the Securities and Exchange...

June 10, 1993 TO: SEC RULES COMMITTEE NO. 53-93 RE: DRAFT COMMENT LETTER ON THE SEC'S PROPOSED EXPEDITED REVIEW PROCEDURE __________________________________________________________ Attached is a draft Institute comment letter on the Commission's proposals for an expedited procedure...

June 4, 1993 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 20-93 COMPLIANCE COMMITTEE NO. 11-93 OPERATIONS COMMITTEE NO. 21-93 SEC RULES COMMITTEE NO. 51-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 35-93 UNIT INVESTMENT TRUST COMMITTEE NO. 27-93 RE: PROPOSED FEDERAL TELEMARKETING LEGISLATION...

June 4, 1993 TO: SEC RULES COMMITTEE NO. 52-93 RE: DRAFT COMMENT LETTER ON THE COMMISSION'S OFF-THE-PAGE PROSPECTUS PROPOSAL __________________________________________________________ Attached is a draft of the Institute's comment letter on the Commission's off-the-page prospectus...

May 25, 1993 TO: INTERNATIONAL COMMITTEE NO. 13-93 SEC RULES COMMITTEE NO. 50-93 RE: CORRECTION - SEC COMMENT LETTER DUE DATE __________________________________________________________ Last week you were forwarded a copy of the SEC's May 5, 1993 proposal to except Rule 144A...

May 21, 1993 TO: BOARD OF GOVERNORS NO. 47-93 SEC RULES COMMITTEE NO. 49-93 RE: INSTITUTE LETTER TO CHAIRMAN MARKEY ON SEC AUTHORIZATION __________________________________________________________ On May 19, the House Telecommunications and Finance Subcommittee held a hearing on the...