SEC Rules Content

June 15, 1992 TO: SEC RULES COMMITTEE NO. 41-92 STATE LIAISON COMMITTEE NO. 22-92 INSTITUTIONAL FUNDS COMMITTEE NO. 12-92 RE: NASAA ISSUES PROPOSED POLICY STATEMENT FOR "TWO-TIER" FUNDS __________________________________________________________ The NASAA Investment Company...

June 15, 1992 TO: SEC RULES COMMITTEE NO. 42-92 RE: INSTITUTE COMMENTS ON FCC PROPOSAL TO LOOSEN RESTRICTION ON INVESTMENTS IN BROADCAST INDUSTRY __________________________________________________________ The Institute recently filed the attached comment letter with the Federal...

June 11, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 24-92 SEC RULES COMMITTEE NO. 40-92 RE: SEC’S RESPONSE TO CHAIRMAN DINGELL’S LETTER ON WRAP FEE PRODUCTS __________________________________________________________ As you may recall, Congressman John Dingell, Chairman of the House...

June 4, 1992 TO: BOARD OF GOVERNORS NO. 41-92 SEC RULES COMMITTEE NO. 39-92 UNIT INVESTMENT TRUST COMMITTEE NO. 31-92 RE: SEC PROPOSES CONDITIONAL EXEMPTION FROM 1940 ACT FOR STRUCTURED FINANCINGS __________________________________________________________ In its first formal action on...

June 3, 1992 TO: SEC RULES COMMITTEE NO. 38-92 RE: AGENDA FOR JUNE 10 MEETING ON 1940 ACT STUDY __________________________________________________________ Attached is an agenda for the June 10 meeting of the Rules Committee on the Division of Investment Management’s report on...

May 26, 1992 TO: DIRECT MARKETING COMMITTEE NO. 19-92 OPERATIONS COMMITTEE NO. 16-92 SALES FORCE MARKETING COMMITTEE NO. 18-92 SEC RULES COMMITTEE NO. 37-92 BROKER/DEALER ADVISORY COMMITTEE NO. 18-92 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 17-92 RE: INSTITUTE COMMENT LETTER ON FCC’S...

May 26, 1992 TO: SEC RULES COMMITTEE NO. 36-92 RE: DRAFT INTERPRETIVE REQUEST REGARDING MONTHLY CONFIRMATION OF TRANSACTIONS IN SHARES OF MONEY MARKET FUNDS WITH 12b-1 FEES __________________________________________________________ Attached for your review is a draft letter to the...

May 19, 1992 TO: SEC RULES COMMITTEE NO. 35-92 RE: SPECIAL MEETING TO REVIEW SEC 1940 ACT STUDY JUNE -- 10 __________________________________________________________ A special meeting of the SEC Rules Committee will be held on June 10 to review the Division of Investment Management’s...

May 15, 1992 TO: EDGAR PILOT PARTICIPANTS ACCOUNTING/TREASURERS COMMITTEE NO. 23-92 OPERATIONS COMMITTEE NO. 15-92 SEC RULES COMMITTEE NO. 34-92 RE: ADOPTION OF AMENDMENTS TO TEMPORARY RULES FOR THE EDGAR SYSTEM __________________________________________________________ Enclosed are...

May 13, 1992 TO: STATE SECURITIES MEMBERS NO. 22-92 SEC RULES COMMITTEE NO. 33-92 RE: INSTITUTE WRITES OHIO AND SOUTH DAKOTA REQUESTING REPEAL OF INVESTMENT RESTRICTIONS, UPDATE ON WISCONSIN AND ARKANSAS __________________________________________________________ As you know, the...