SEC Rules Content

April 20, 1993 TO: BOARD OF GOVERNORS NO. 36-93 STATE SECURITIES MEMBERS NO. 17-93 SEC RULES COMMITTEE NO. 38-93 UNIT INVESTMENT TRUST COMMITTEE NO. 19-93 RE: INSTITUTE COMMENT LETTER ON 1993 CONFERENCE ON FEDERAL- STATE SECURITIES REGULATION __________________________________________...

April 19, 1993 TO: SEC RULES COMMITTEE NO. 36-93 RE: CORRECTION TO SEC'S PROPOSAL ON EXPEDITED REVIEW PROCEDURES FOR EXEMPTIVE APPLICATIONS __________________________________________________________ As we previously informed you, the SEC has proposed expedited review procedures for...

April 19, 1993 TO: AD HOC TASK FORCE ON 12B-1 ISSUES SEC RULES COMMITTEE NO. 37-93 RE: SEC SOLICITS COMMENTS ON NASD Q&As __________________________________________________________ As you know, in NASD Notice to Members 93-12, the NASD set forth a series of questions and answers...

April 14, 1993 TO: BOARD OF GOVERNORS NO. 33-93 MEMBERS - ONE PER COMPLEX NO. 31-93 FEDERAL LEGISLATION COMMITTEE NO. 10-93 INVESTMENT ADVISERS COMMITTEE NO. 8-93 PENSION COMMITTEE NO. 12-93 SEC RULES COMMITTEE NO. 35-93 TAX COMMITTEE NO. 21-93 INTERNATIONAL COMMITTEE NO. 8-93 RE...

April 12, 1993 TO: SEC RULES COMMITTEE NO. 34-93 CLOSED-END FUND COMMITTEE NO. 11-93 INTERVAL FUNDS AD HOC COMMITTEE RE: SEC ADOPTS CLOSED-END INTERVAL FUND RULE AND PROPOSES RELATED REGISTRATION PROCEDURE AMENDMENTS __________________________________________________________ The...

April 7, 1993 TO: SEC RULES COMMITTEE NO. 33-93 RE: RECEIPT OF SOFT DOLLAR CREDITS FROM UNDERWRITING CONCESSIONS __________________________________________________________ A member of the Committee recently raised an issue regarding the propriety of an investment adviser receiving...

April 7, 1993 TO: SEC RULES COMMITTEE NO. 32-93 RE: DRAFT AGENDA FOR APRIL 22 MEETING __________________________________________________________ Attached is a draft agenda for the meeting of the SEC Rules Committee to be held on Thursday, April 22 at 10:00 a.m. at the Hotel Washington...

April 6, 1993 TO: SEC RULES COMMITTEE NO. 31-93 STATE LIAISON COMMITTEE NO. 19-93 UNIT INVESTMENT TRUST COMMITTEE NO. 18-93 COMPLIANCE COMMITTEE NO. 6-93 RE: INSTITUTE COMMENTS ON NEBRASKA REQUIREMENT REGARDING REPRESENTATION OF BROKER-DEALER AND AGENT STATUS _________________________...

April 1, 1993 TO: SEC RULES COMMITTEE NO. 29-93 STATE LIAISON COMMITTEE NO. 17-93 RE: INSTITUTE COMMENTS ON PROPOSED AMENDMENT TO TEXAS MONEY MARKET CONDITIONAL EXEMPTION __________________________________________________________ As we previously informed you, the Texas Securities...

April 1, 1993 TO: EDGAR FILER GROUP OPERATIONS COMMITTEE NO. 9-93 UNIT INVESTMENT TRUST COMMITTEE NO. 13-93 ACCOUNTING/TREASURERS COMMITTEE NO. 13-93 MEMBER - ONE PER COMPLEX NO. 23-93 SEC RULES COMMITTEE NO. 26-93 SMALL FUNDS COMMITTEE NO. 7-93 RE: SEC ADOPTION OF RULES REQUIRING...