SEC Rules Content

January 22, 1993 TO: BOARD OF GOVERNORS NO. 5-93 SEC RULES COMMITTEE NO. 9-93 INTERNATIONAL COMMITTEE NO. 3-93 RE: INSTITUTE SUBMITS PROPOSAL TO SEC STAFF ON RULE 17f-5 __________________________________________________________ On January 19, 1993, the Institute submitted the attached...

January 22, 1993 TO: SEC RULES COMMITTEE NO. 7-93 RE: MEETING ON FUND LIQUIDITY STANDARDS -- DATE CHANGE __________________________________________________________ Please be advised that due to a scheduling conflict, the February 9 meeting on liquidity standards for mutual funds...

January 21, 1993 TO: SEC RULES COMMITTEE NO. 6-93 RE: FEBRUARY 9 MEETING TO DISCUSS FUND LIQUIDITY STANDARDS __________________________________________________________ As you know, several months ago, the SEC issued a release proposing rules and rule amendments to create procedures...

January 15, 1993 TO: OPERATIONS COMMITTEE NO. 1-93 SEC RULES COMMITTEE NO. 5-93 STATE LIAISON COMMITTEE NO. 1-93 TRANSFER AGENT ADVISORY COMMITTEE NO. 4-93 RE: NASAA ISSUES PROPOSED TELEPHONE TRANSACTIONS GUIDELINES FOR PUBLIC COMMENT __________________________________________________...

January 7, 1993 TO: SEC RULES COMMITTEE NO. 4-93 CLOSED-END FUND COMMITTEE NO. 1-93 UNIT INVESTMENT TRUST COMMITTEE NO. 1-93 INTERNATIONAL COMMITTEE NO. 2-93 RE: SEC PROPOSES TO DELETE ANNUAL REVIEWS BY BOARDS OF DIRECTORS AND REPROPOSES AMENDMENTS TO RULE 12d3-1 _____________________...

January 7, 1993 TO: SEC RULES COMMITTEE NO. 3-93 INVESTMENT ADVISERS COMMITTEE NO. 2-93 RE: INSTITUTE REQUESTS EXEMPTION FOR INVESTMENT COMPANIES AND INVESTMENT ADVISERS FROM PUBLIC UTILITY HOLDING COMPANY ACT __________________________________________________________ In the attached...

January 4, 1993 TO: SEC RULES COMMITTEE NO. 1-93 RE: DRAFT AGENDA FOR JANUARY 11 MEETING __________________________________________________________ Attached is a draft agenda for the meeting of the SEC Rules Committee to be held on Monday, January 11 at 10:00 a.m. at the Madison Hotel...

January 4, 1993 TO: SEC RULES COMMITTEE NO. 2-93 INTERNATIONAL COMMITTEE NO. 1-93 RE: RULE 17f-5 __________________________________________________________ As you know, in September the Institute formed an ad hoc subcommittee of interested members of the SEC Rules Committee and the...

December 30, 1992 TO: BOARD OF GOVERNORS NO. 95-92 SEC RULES COMMITTEE NO. 95-92 ACCOUNTING/TREASURERS COMMITTEE NO. 49-92 RE: INSTITUTE COMMENT LETTER ON NASD PROPOSED REPORTING SYSTEM FOR HIGH YIELD BONDS __________________________________________________________ The Institute has...

December 22, 1992 TO: BOARD OF GOVERNORS NO. 93-92 SEC RULES COMMITTEE NO. 94-92 STATE LIAISON COMMITTEE NO. 45-92 UNIT INVESTMENT TRUST COMMITTEE NO. 71-92 SUBCOMMITTEE ON ADVERTISING NO. 16-92 RE: NASAA COMMITTEE TO STUDY INVESTMENT COMPANY SALES PRACTICES __________________________...