SEC Rules Content

September 24, 1992 TO: UNIT INVESTMENT TRUST COMMITTEE NO. 54-92 SEC RULES COMMITTEE NO. 72-92 CLOSED-END FUND COMMITTEE NO. 21-92 RE: INSTITUTE PROPOSES CHANGES TO MARGIN TREATMENT OF INVESTMENT COMPANY SHARES __________________________________________________________ The Institute...

September 17, 1992 TO: SEC RULES COMMITTEE NO. 71-92 RE: NOTICE OF MEETING, OCTOBER 20 1992 __________________________________________________________ A meeting of the SEC Rules Committee has been scheduled for 10:00 a.m. on Tuesday, October 20, 1992 at the Washington Hilton Hotel and...

September 15, 1992 TO: BOARD OF GOVERNORS NO. 65-92 SEC RULES COMMITTEE NO. 70-92 CLOSED-END FUND DIVISIONAL COMMITTEE CLOSED-END FUND COMMITTEE NO. 20-92 RE: ISSUES TO BE ADDRESSED AT SEPTEMBER 23 MEETING ON HYBRID FUNDS PROPOSAL ______________________________________________________...

September 11, 1992 TO: SEC RULES COMMITTEE NO. 69-92 RE: LETTER TO THE SEC REGARDING CHANGES IN EXEMPTIVE PROCEDURES __________________________________________________________ The Institute recently sent to the Division of Investment Management the attached letter regarding the staff...

September 3, 1992 TO: SEC RULES COMMITTEE NO. 68-92 INVESTMENT ISSUES COMMITTEE NO. 11-92 CLOSED-END FUND COMMITTEE NO. 19-92 RE: INSTITUTE LETTERS ON PROPOSED PROXY REFORM AND EXECUTIVE COMPENSATION DISCLOSURE AMENDMENTS __________________________________________________________ As...

September 2, 1992 TO: SEC RULES COMMITTEE NO. 66-92 CLOSED-END FUND COMMITTEE NO. 18-92 RE: SEPTEMBER 23 MEETING TO DISCUSS SEC PROPOSALS TO PERMIT PERIODIC REPURCHASES AND REDEMPTIONS __________________________________________________________ As you know, the SEC’s proposals to...

September 2, 1992 TO: SEC RULES COMMITTEE NO. 67-92 INTERNATIONAL COMMITTEE NO. 18-92 RE: INSTITUTE COMMENT LETTER ON PROPOSED AMENDMENTS TO RULE 144A __________________________________________________________ As we previously informed you, the SEC recently proposed amendments to Rule...

September 1, 1992 TO: SEC RULES COMMITTEE NO. 65-92 AD HOC TASK FORCE ON 12b-1 ISSUES RULE 12B-1 AD HOC COMMITTEE RE: INSTITUTE SENDS PROPOSED TECHNICAL QUESTIONS AND ANSWERS UNDER AMENDED NASD MAXIMUM SALES CHARGE RULES TO NASD ________________________________________________________...

August 28, 1992 TO: OPERATIONS COMMITTEE NO. 29-92 SEC RULES COMMITTEE NO. 64-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 48-92 UNIT INVESTMENT TRUST COMMITTEE NO. 48-92 RE: INSTITUTE SUBMITS REQUEST FOR INTERPRETATION OF CONFIRMATION DELIVERY REQUIREMENTS UNDER RULE 10b-10 _____________...

August 21, 1992 TO: SEC RULES COMMITTEE NO. 63-92 RE: SEC ADOPTS RULE AMENDMENTS AND PROPOSES ADDITIONAL AMENDMENTS RELATING TO SMALL BUSINESS INITIATIVES __________________________________________________________ The Securities and Exchange Commission adopted amendments to rules...