SEC Rules Content

August 3, 1992 TO: SEC RULES COMMITTEE NO. 54-92 AD HOC TASK FORCE ON 12b-1 ISSUES RE: DRAFT LETTER TO NASD PROPOSING TECHNICAL QUESTIONS AND ANSWERS UNDER AMENDED NASD MAXIMUM SALES CHARGE RULES __________________________________________________________ Attached for your review is a...

July 24, 1992 TO: BOARD OF GOVERNORS NO. 48-92 SEC RULES COMMITTEE NO. 50-92 INTERNATIONAL COMMITTEE NO. 15-92 RE: SEC PROPOSES AMENDMENTS TO RULE 144A UNDER THE SECURITIES ACT __________________________________________________________ The Securities and Exchange Commission has...

July 22, 1992 TO: BOARD OF GOVERNORS NO. 46-92 SEC RULES COMMITTEE NO. 48-92 BANK INVESTMENT MANAGEMENT MEMBERS NO. 2-92 RE: FED ADOPTS RULE PERMITTING BANK AFFILIATES TO BROKER AND RECOMMEND MUTUAL FUNDS ADVISED BY AFFILIATES __________________________________________________________...

July 22, 1992 TO: SEC RULES COMMITTEE NO. 49-92 AD HOC TASK FORCE ON 12b-1 ISSUES RE: NOTICE OF MEETING OF AD HOC TASK FORCE ON 12b-1 ISSUES ON TUESDAY, AUGUST 11 __________________________________________________________ The second meeting of the Ad Hoc Task Force on 12b-1 Issues...

July 16, 1992 TO: SEC RULES COMMITTEE NO. 47-92 RE: DRAFT INSTITUTE LETTER ON PROPOSED EXEMPTIVE RULE FOR ASSET-BACKED ARRANGEMENTS __________________________________________________________ As we previously informed you, the SEC has proposed Rule 3a-7 under the Investment Company Act...

July 13, 1992 TO: STATE SECURITIES MEMBERS NO. 34-92 SEC RULES COMMITTEE NO. 46-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 38-92 RE: INSTITUTE SUBMISSION TO NASAA COMMITTEE ON FUND LIABILITY FOR TELEPHONE TRANSACTIONS __________________________________________________________ The...

July 7, 1992 TO: SEC RULES COMMITTEE NO. 44-92 INVESTMENT ISSUES COMMITTEE NO. 9-92 INVESTMENT ADVISERS COMMITTEE NO. 28-92 CLOSED-END FUND COMMITTEE NO. 12-92 RE: SEC REPROPOSES PROXY REFORM AMENDMENTS AND PROPOSES EXECUTIVE COMPENSATION AMENDMENTS ___________________________________...

July 7, 1992 TO: SMALL FUNDS MEMBERS NO. 12-92 SEC RULES COMMITTEE NO. 45-92 STATE LIAISON COMMITTEE NO. 26-92 UNIT INVESTMENT TRUST COMMITTEE NO. 37-92 RE: FEDERAL APPEALS COURT VACATES INJUNCTION AGAINST FUNDS THAT FAILED TO REGISTER WITH STATES _____________________________________...

June 30, 1992 TO: OPERATIONS COMMITTEE NO. 18-92 SEC RULES COMMITTEE NO. 43-92 MARKETING POLICY COMMITTEE NO. 22-92 UNIT INVESTMENT TRUST COMMITTEE NO. 34-92 BROKER/DEALER ASSOCIATE MEMBERS NO. 9-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 26-92 INVESTMENT ISSUES COMMITTEE NO. 8-92 RE...