SEC Rules Content

March 3, 1993 TO: SEC RULES COMMITTEE NO. 19-93 RE: NOTICE OF MEETING - MONDAY APRIL 12, 1993 __________________________________________________________ A meeting of the SEC Rules Committee has been scheduled for 10:00 a.m. on April 12, 1993 at The Hotel Washington, 15th and...

March 2, 1993 TO: BOARD OF GOVERNORS NO. 17-93 ACCOUNTING/TREASURERS COMMITTEE NO. 10-93 BANK BROKER/DEALER ADVISORY COMMITTEE NO. 5-93 BROKER/DEALER ADVISORY COMMITTEE NO. 9-93 CLOSED-END FUND COMMITTEE NO. 5-93 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 3-93 OPERATIONS COMMITTEE...

March 2, 1993 TO: OPERATIONS COMMITTEE NO. 7-93 SEC RULES COMMITTEE NO. 16-93 STATE LIAISON COMMITTEE NO. 11-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 15-93 RE: INSTITUTE SUBMITS COMMENTS ON PROPOSED NASAA TELEPHONE TRANSACTION GUIDELINES _______________________________________________...

1 1 The registration fee for money market funds qualifying for the conditional exemption is 1/10th of 1% of the first $10 million, 1/20th of 1% of the next $10 million, 1/50th of 1% of the next $30 million, 1/100th of 1% of the next $50 million and 1/200th of 1% of the remainder. All...

February 26, 1993 TO: SEC RULES COMMITTEE NO. 14-93 STATE LIAISON COMMITTEE NO. 9-93 RE: INSTITUTE SUPPORTS FUND'S PETITION FOR REVIEW OF MISSOURI FEE TABLE DISCLOSURE COMMENTS __________________________________________________________ As many of you know, the staff of the Missouri...

February 8, 1993 TO: OPERATIONS COMMITTEE NO. 5-93 SEC RULES COMMITTEE NO. 11-93 STATE LIAISON COMMITTEE NO. 5-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 13-93 RE: COMMENT PERIOD ON PROPOSED NASAA TELEPHONE TRANSACTION GUIDELINES REVISED _________________________________________________...

February 8, 1993 TO: SEC RULES COMMITTEE NO. 12-93 UNIT INVESTMENT TRUST COMMITTEE NO. 7-93 BROKER/DEALER ADVISORY COMMITTEE NO. 6-93 RE: SEC SOLICITS COMMENT ON NASD PROPOSAL TO AMEND RULE GOVERNING CASH AND NON-CASH COMPENSATION ______________________________________________________...

February 8, 1993 TO: SEC RULES COMMITTEE NO. 13-93 STATE LIAISON COMMITTEE NO. 6-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 14-93 RE: MARYLAND LEGISLATION INTRODUCED TO CLARIFY SMALL ACCOUNT REDEMPTION PROCEDURE __________________________________________________________ The Institute...

February 4, 1993 TO: MEMBERS - ONE PER COMPLEX NO. 10-93 CLOSED-END FUND MEMBERS NO. 7-93 INVESTMENT ADVISER MEMBERS NO. 10-93 SEC RULES COMMITTEE NO. 10-93 UNIT INVESTMENT TRUST COMMITTEE NO. 5-93 RE: SUMMARY OF SEC NO-ACTION AND INTERPRETIVE LETTERS - SERIES 56 _____________________...

January 22, 1993 TO: SEC RULES COMMITTEE NO. 8-93 OPERATIONS COMMITTEE NO. 3-93 RE: ARTICLE 8 OF UCC UNDER REVISION BY NATIONAL CONFERENCE OF COMMISSIONERS ON UNIFORM STATE LAWS __________________________________________________________ As you may be aware, in the Spring of 1991, a...