SEC Rules Content

October 22, 1992 TO: BOARD OF GOVERNORS NO. 76-92 SEC RULES COMMITTEE NO. 81-92 DIRECT MARKETING COMMITTEE NO. 41-92 RE: INSTITUTE’S SUBMISSION TO THE SEC ON "OFF-THE-PAGE SALES" __________________________________________________________ Today the Institute submitted to the SEC staff...

October 22, 1992 TO: SEC RULES COMMITTEE NO. 82-92 RE: INVESTMENT MANAGEMENT’S UNIFIED FEE PROPOSAL __________________________________________________________ The Institute intends to hold a meeting of members of the SEC Rules Committee to discuss the Division of Investment Management...

October 21, 1992 TO: SEC RULES COMMITTEE NO. 80-92 AD HOC TASK FORCE ON 12B-1 ISSUES RULE 12B-1 AD HOC COMMITTEE RE: INSTITUTE SENDS SUPPLEMENTAL QUESTIONS AND ANSWERS UNDER AMENDED NASD MAXIMUM SALES CHARGE RULES TO NASD __________________________________________________________ The...

October 21, 1992 TO: SEC RULES COMMITTEE NO. 79-92 RE: FORMATION OF SUBCOMMITTEE ON CREDITORS’ RIGHTS ISSUES __________________________________________________________ At the SEC Rules Committee meeting held on October 20, 1992, the Institute proposed forming a subcommittee to address...

October 20, 1992 TO: INSTITUTIONAL FUNDS COMMITTEE NO. 22-92 SEC RULES COMMITTEE NO. 78-92 RE: INSTITUTE REQUEST FOR AMENDMENT TO RULE 15c2-4 TO PERMIT INVESTMENT OF OFFERING PROCEEDS IN MONEY MARKET FUNDS __________________________________________________________ The Institute has...

October 19, 1992 TO: SEC RULES COMMITTEE NO. 77-92 CLOSED-END FUND COMMITTEE NO. 26-92 CLOSED-END FUND DIVISIONAL COMMITTEE RE: DRAFT INSTITUTE LETTER ON SEC INTERVAL FUND PROPOSAL __________________________________________________________ Attached is a draft of the Institute’s letter...

October 9, 1992 TO: SEC RULES COMMITTEE NO. 76-92 RE: DRAFT AGENDA FOR OCTOBER 20 MEETING __________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for October 20, 1992. The meeting will be held at the...

October 9, 1992 TO: BOARD OF GOVERNORS NO. 73-92 SEC RULES COMMITTEE NO. 75-92 BANK INVESTMENT MANAGEMENT MEMBERS NO. 6-92 RE: FEDERAL RESERVE RELEASE CONCERNING FULL BROKERAGE ACTIVITIES __________________________________________________________ On September 10, 1992, the Federal...

October 6, 1992 TO: SEC RULES COMMITTEE NO. 74-92 CLOSED-END FUND COMMITTEE NO. 25-92 RE: INSTITUTE COMMENT LETTER ON PROPOSED EXEMPTIVE RULES CONCERNING LIMITED PARTNERSHIP INVESTMENT COMPANIES __________________________________________________________ As we previously informed you...

September 28, 1992 TO: SEC RULES COMMITTEE NO. 73-92 CLOSED-END FUND COMMITTEE NO. 22-92 STATE LIAISON COMMITTEE NO. 37-92 RE: INSTITUTE ALERTS NASAA ON IMPACT OF STATE INVESTMENT RESTRICTIONS ON PROPOSED HYBRID FUNDS __________________________________________________________ As you...