SEC Rules Content

May 19, 1993 TO: INTERNATIONAL COMMITTEE NO. 12-93 SEC RULES COMMITTEE NO. 48-93 RE: SEC PROPOSES TO EXCEPT RULE 144A DISTRIBUTIONS FROM APPLICATION OF SECURITIES EXCHANGE ACT TRADING RULES __________________________________________________________ The Securities and Exchange...

May 18, 1993 TO: BOARD OF GOVERNORS NO. 46-93 TAX COMMITTEE NO. 26-93 SEC RULES COMMITTEE NO. 47-93 RE: BILL INTRODUCED TO CREATE NEW TAX REGIME FOR ASSET-BACKED POOLS __________________________________________________________ The attached bill, which was recently introduced by...

May 11, 1993 TO: INVESTMENT ADVISERS COMMITTEE NO. 11-93 SEC RULES COMMITTEE NO. 46-93 DERIVATIVE INSTRUMENTS SUBCOMMITTEE RE: CFTC PROPOSES RULE AMENDMENTS TO PERMIT BUNCHED ORDERS __________________________________________________________ The Commodity Futures Trading Commission is...

May 10, 1993 TO: CLOSED-END FUND COMMITTEE NO. 14-93 INVESTMENT ADVISERS COMMITTEE NO. 10-93 SEC RULES COMMITTEE NO. 45-93 UNIT INVESTMENT TRUST COMMITTEE NO. 24-93 RE: SEC SEMI-ANNUAL REGULATORY AGENDA __________________________________________________________ The SEC recently...

May 5, 1993 TO: SEC RULES COMMITTEE NO. 44-93 STATE LIAISON COMMITTEE NO. 23-93 RE: INSTITUTE SUBMITS PROPOSED REVISION TO MONEY MARKET CONDITIONAL EXEMPTION __________________________________________________________ The Institute recently submitted a comment letter to the Texas State...

May 4, 1993 TO: OPERATIONS COMMITTEE NO. 19-93 SEC RULES COMMITTEE NO. 43-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 33-93 RE: PROPOSED ELECTRONIC MONITORING LEGISLATION __________________________________________________________ Attached for your review is a copy of H.R. 1900, the...

- 1 - May 3, 1993 TO: INTERNATIONAL MEMBERS NO. 12-93 SEC RULES COMMITTEE NO. 42-93 RE: SEC STAFF NO-ACTION LETTERS REGARDING CUSTODY OF FUND ASSETS IN CHINA __________________________________________________________ The SEC's Division of Investment Management has issued two no-action...

April 29, 1993 TO: SEC RULES COMMITTEE NO. 41-93 RE: MEETING TO DISCUSS RECENT AMENDMENTS TO FORM N-1A __________________________________________________________ As we previously informed you, the SEC adopted amendments to Form N-1A to require mutual funds (1) to disclose in their...

April 27, 1993 TO: CLOSED-END FUND COMMITTEE NO. 12-93 OPERATIONS COMMITTEE NO. 17-93 SEC RULES COMMITTEE NO. 40-93 SMALL FUNDS COMMITTEE NO. 11-93 UNIT INVESTMENT TRUST COMMITTEE NO. 23-93 RE: MAY 18 MEETING TO DISCUSS T+3 SETTLEMENT PROPOSAL _________________________________________...

April 21, 1993 TO: STATE SECURITIES MEMBERS NO. 19-93 OPERATIONS MEMBERS NO. 21-93 SEC RULES COMMITTEE NO. 39-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 29-93 RE: LEGISLATION AMENDING SMALL ACCOUNT REDEMPTION PROCEDURE PASSED IN MARYLAND _________________________________________________...