SEC Rules Content

December 15, 1992 TO: BOARD OF GOVERNORS NO. 89-92 SEC RULES COMMITTEE NO. 93-92 ACCOUNTING/TREASURERS COMMITTEE NO. 46-92 RE: NASD PROPOSED REPORTING SYSTEM FOR HIGH YIELD BONDS __________________________________________________________ The SEC is soliciting comments on rules...

December 11, 1992 TO: BANK BROKER/DEALER ADVISORY COMMITTEE NO. 12-92 BROKER/DEALER ADVISORY COMMITTEE NO. 40-92 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 20-92 OPERATIONS COMMITTEE NO. 37-92 SEC RULES COMMITTEE NO. 92-92 SMALL FUNDS COMMITTEE NO. 19-92 RE: SEC ADOPTION AND...

December 7, 1992 TO: CLOSED-END FUND COMMITTEE NO. 31-92 SEC RULES COMMITTEE NO. 91-92 RE: INSTITUTE COMMENT LETTER ON PROPOSED AMENDMENTS TO CFTC REGULATION 4.5 __________________________________________________________ As we previously informed you, the Commodity Futures Trading...

December 2, 1992 TO: SEC RULES COMMITTEE NO. 90-92 RE: NOTICE OF MEETING, JANUARY 11, 1993 __________________________________________________________ A meeting of the SEC Rules Committee has been scheduled for 10:00 a.m. on Monday, January 11, 1993 at The Madison Hotel, 15th and M...

November 25, 1992 TO: SEC RULES COMMITTEE NO. 89-92 BROKER/DEALER ADVISORY COMMITTEE NO. 39-92 RE: INSTITUTE LETTER ON NASD PROPOSAL TO EXEMPT CERTAIN BULK EXCHANGE OF MONEY MARKET FUNDS FROM NEGATIVE CONSENT RULE __________________________________________________________ The...

November 13, 1992 TO: SEC RULES COMMITTEE NO. 88-92 RE: SPECIAL MEETING OF RULES COMMITTEE DURING PROCEDURES CONFERENCE __________________________________________________________ In prior years, in conjunction with the Procedures Conference, there has been a special meeting of members...

November 11, 1992 TO: CLOSED-END FUND COMMITTEE NO. 29-92 INVESTMENT ADVISERS COMMITTEE NO. 39-92 SEC RULES COMMITTEE NO. 87-92 UNIT INVESTMENT TRUST COMMITTEE NO. 67-92 RE: SEC SEMIANNUAL REGULATORY AGENDA __________________________________________________________ The Securities and...

November 9, 1992 TO: BANK INVESTMENT MANAGEMENT MEMBERS NO. 9-92 INSTITUTIONAL FUNDS COMMITTEE NO. 28-92 INVESTMENT ADVISER MEMBERS NO. 60-92 SEC RULES COMMITTEE NO. 86-92 RE: SEC NO-ACTION LETTER CONCERNING TRANSACTIONS BETWEEN FIDUCIARY ACCOUNTS AND MUTUAL FUND CLIENTS _____________...

November 6, 1992 TO: SEC RULES COMMITTEE NO. 85-92 BROKER/DEALER ADVISORY COMMITTEE NO. 36-92 RE: SEC SOLICITS COMMENTS ON NASD PROPOSAL RELATING TO THE USE OF NEGATIVE RESPONSE LETTERS IN CERTAIN BULK EXCHANGES OF MONEY MARKET FUNDS ___________________________________________________...

November 2, 1992 TO: CLOSED-END FUND COMMITTEE NO. 27-92 INVESTMENT ADVISERS COMMITTEE NO. 38-92 SEC RULES COMMITTEE NO. 83-92 RE: CFTC PROPOSES AMENDMENTS TO RULE 4.5 __________________________________________________________ The Commodity Futures Trading Commission ("CFTC") has...