SEC Rules Content

August 20, 1992 TO: SEC RULES COMMITTEE NO. 62-92 CLOSED-END FUND COMMITTEE NO. 16-92 RE: DRAFT AGENDA FOR SEPTEMBER 1 MEETING TO DISCUSS SEC PROPOSALS TO PERMIT PERIODIC REPURCHASES AND REDEMPTIONS __________________________________________________________ Attached is a draft agenda...

August 19, 1992 TO: STATE LIAISON COMMITTEE NO. 30-92 SEC RULES COMMITTEE NO. 61-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 46-92 RE: INSTITUTE SUBMITS FOLLOW-UP LETTER TO NASAA COMMITTEE ON TELEPHONE EXCHANGE/REDEMPTION SERVICE __________________________________________________________...

August 18, 1992 TO: BOARD OF GOVERNORS NO. 62-92 SEC RULES COMMITTEE NO. 60-92 CLOSED-END FUND DIVISIONAL COMMITTEE CLOSED-END FUND COMMITTEE NO. 15-92 RE: PROPOSED NEW TYPES OF FUNDS - POLICY ISSUES TO BE CONSIDERED AT SEPTEMBER 1 MEETING _____________________________________________...

August 17, 1992 TO: OPERATIONS COMMITTEE NO. 26-92 SEC RULES COMMITTEE NO. 59-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 45-92 UNIT INVESTMENT TRUST COMMITTEE NO. 43-92 RE: INSTITUTE REQUEST FOR INTERPRETATION OF CONFIRMATION DELIVERY REQUIREMENTS UNDER RULE 10b-10 _____________________...

August 14, 1992 TO: SEC RULES COMMITTEE NO. 58-92 RE: PROPOSED LETTER TO THE SEC REGARDING CHANGES IN EXEMPTIVE PROCEDURES __________________________________________________________ As you may recall, at the Committee’s June 10th meeting the members generally objected to the SEC staff...

August 6, 1992 TO: SEC RULES COMMITTEE NO. 57-92 CLOSED-END FUND COMMITTEE NO. 14-92 RE: SEC PROPOSES EXEMPTIVE RULES CONCERNING INVESTMENT COMPANIES ORGANIZED IN LIMITED PARTNERSHIP FORM __________________________________________________________ The Securities and Exchange Commission...

August 5, 1992 TO: BOARD OF GOVERNORS NO. 52-92 SEC RULES COMMITTEE NO. 55-92 UNIT INVESTMENT TRUST COMMITTEE NO. 41-92 RE: INSTITUTE COMMENT LETTER ON PROPOSED 1940 ACT EXEMPTION FOR ASSET-BACKED ARRANGEMENTS __________________________________________________________ The Institute...

August 5, 1992 TO: INTERNATIONAL COMMITTEE NO. 17-92 SEC RULES COMMITTEE NO. 56-92 RE: RULE 17f-5 __________________________________________________________ The Institute is forming an ad hoc subcommittee on Rule 17f-5, the rule governing foreign custody of investment company assets...

August 3, 1992 TO: SEC RULES COMMITTEE NO. 53-92 STATE LIAISON COMMITTEE NO. 28-92 INSTITUTIONAL FUNDS COMMITTEE NO. 16-92 RE: INSTITUTE COMMENTS ON NASAA TWO-TIER FUND PROPOSAL __________________________________________________________ As we previously advised you, the NASAA...

August 3, 1992 TO: SEC RULES COMMITTEE NO. 52-92 CLOSED-END FUND COMMITTEE NO. 13-92 RE: SEC PROPOSES RULES TO PERMIT PERIODIC REDEMPTIONS OF INVESTMENT COMPANY SHARES __________________________________________________________ The Securities and Exchange Commission has proposed rules...