SEC Rules Content

April 1, 1993 TO: SEC RULES COMMITTEE NO. 30-93 STATE LIAISON COMMITTEE NO. 18-93 INVESTMENT ADVISERS COMMITTEE NO. 6-93 UNIT INVESTMENT TRUST COMMITTEE NO. 17-93 RE: COMMENTS REQUESTED FOR 1993 CONFERENCE ON UNIFORMITY OF FEDERAL-STATE SECURITIES REGULATION AGENDA ___________________...

March 30, 1993 TO: SEC RULES COMMITTEE NO. 28-93 RE: SEC PROPOSES EXPEDITED REVIEW PROCEDURES FOR CERTAIN EXEMPTIVE APPLICATIONS __________________________________________________________ The Securities and Exchange Commission has proposed for public comment an amendment to Rule 0-5...

March 23, 1993 TO: SEC RULES COMMITTEE NO. 25-93 SUBCOMMITTEE ON ADVERTISING NO. 7-93 RE: SEC PROPOSES OFF-THE-PAGE PROSPECTUS __________________________________________________________ The Securities and Exchange Commission recently proposed to amend Rule 482 to permit investors to...

March 23, 1993 TO: BOARD OF GOVERNORS NO. 22-93 SEC RULES COMMITTEE NO. 27-93 RE: INSTITUTE TESTIMONY ON S.479, THE "SMALL BUSINESS INCENTIVE ACT OF 1993" __________________________________________________________ The Institute recently submitted written testimony to the Subcommittee...

March 19, 1993 TO: OPERATIONS COMMITTEE NO. 12-93 SEC RULES COMMITTEE NO. 24-93 STATE LIAISON COMMITTEE NO. 16-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 22-93 RE: UPDATE ON MEETING WITH NASAA COMMITTEE ON PROPOSED TELEPHONE TRANSACTION GUIDELINES _______________________________________...

March 15, 1993 TO: SEC RULES COMMITTEE NO. 23-93 DERIVATIVE INSTRUMENTS SUBCOMMITTEE RE: NOTICE OF MEETING OF DERIVATIVE INSTRUMENTS SUBCOMMITTEE - APRIL 7, 1993 __________________________________________________________ At the January 11 meeting of the SEC Rules Committee, we brought...

1 */ On January 18, 1993, the Institute submitted proposed revisions to rule 17f-5 to eliminate unnecessary obligations placed on fund boards of directors under the current rule. The Institute's proposal would permit a fund's board of directors to delegate the selection of foreign...

March 8, 1993 TO: SEC RULES COMMITTEE NO. 20-93 UNIT INVESTMENT TRUST COMMITTEE NO. 12-93 BROKER/DEALER ADVISORY COMMITTEE NO. 10-93 SALES FORCE MARKETING COMMITTEE NO. 20-93 RE: INSTITUTE COMMENTS TO SEC ON NASD PROPOSAL TO AMEND RULE GOVERNING CASH AND NON-CASH COMPENSATION ________...

March 8, 1993 TO: SEC RULES COMMITTEE NO. 21-93 RE: CHANGE IN DATE FOR APRIL MEETING __________________________________________________________ When we first scheduled the date for the next SEC Rules Committee meeting we did not realize that it was being scheduled for the day after...

March 3, 1993 TO: SEC RULES COMMITTEE NO. 18-93 STATE LIAISON COMMITTEE NO. 12-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 17-93 RE: INSTITUTE TESTIFIES BEFORE MARYLAND HOUSE COMMITTEE ON SMALL ACCOUNT REDEMPTION LEGISLATION __________________________________________________________ The...