SEC Rules Content

May 11, 1992 TO: CLOSED-END FUND COMMITTEE NO. 10-92 INVESTMENT ADVISERS COMMITTEE NO. 21-92 SEC RULES COMMITTEE NO. 31-92 UNIT INVESTMENT TRUST COMMITTEE NO. 26-92 RE: SEC SEMIANNUAL REGULATORY AGENDA __________________________________________________________ The Securities and...

May 11, 1992 TO: BOARD OF GOVERNORS NO. 30-92 CLOSED-END FUND COMMITTEE NO. 11-92 SEC RULES COMMITTEE NO. 32-92 RE: HOUSE TELECOMMUNICATIONS AND FINANCE SUBCOMMITTEE REPORTS BILL TO REPEAL SECTION 11(a) MANAGED ACCOUNT PROVISIONS _______________________________________________________...

May 8, 1992 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 15-92 DIRECT MARKETING COMMITTEE NO. 14-92 OPERATIONS COMMITTEE NO. 14-92 SALES FORCE MARKETING COMMITTEE NO. 14-92 SEC RULES COMMITTEE NO. 30-92 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 13-92 RE: FCC SEEKS COMMENTS ON PROPOSED...

May 8, 1992 TO: MEMBERS - ONE PER COMPLEX NO. 13-92 CLOSED-END FUND MEMBERS NO. 22-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 14-92 INVESTMENT ADVISER MEMBERS NO. 19-92 OPERATIONS COMMITTEE NO. 13-92 SEC RULES COMMITTEE NO. 29-92 SMALL FUNDS COMMITTEE NO. 4-92 STATE SECURITIES...

May 7, 1992 TO: STATE SECURITIES MEMBERS NO. 20-92 SEC RULES COMMITTEE NO. 28-92 RE: WASHINGTON ISSUES HIGH YIELD BOND FUND DISCLOSURE __________________________________________________________ As we previously advised you, the Washington Securities Division has been requiring...

May 5, 1992 TO: INVESTMENT ADVISERS COMMITTEE NO. 20-92 SEC RULES COMMITTEE NO. 27-92 RE: CHAIRMAN DINGELL'S LETTER TO THE SEC ABOUT WRAP FEE PRODUCTS __________________________________________________________ Congressman John Dingell, Chairman of the House Committee on Energy and...

May 4, 1992 TO: BOARD OF GOVERNORS NO. 28-92 SEC RULES COMMITTEE NO. 26-92 RE: INSTITUTE STATEMENT ON THE "SMALL BUSINESS INCENTIVE ACT OF OF 1992" __________________________________________________________ As we previously reported, the Securities and Exchange Commission had...

April 30, 1992 TO: CLOSED-END FUND COMMITTEE NO. 9-92 SEC RULES COMMITTEE NO. 25-92 UNIT INVESTMENT TRUST COMMITTEE NO. 24-92 RE: SEC ANNOUNCES REGULATORY REFORM INITIATIVES __________________________________________________________ In a report to President Bush released earlier this...

April 28, 1992 TO: STATE SECURITIES MEMBERS NO. 19-92 SEC RULES COMMITTEE NO. 24-92 RE: INSTITUTE REQUESTS REPEAL OF STATE INVESTMENT RESTRICTIONS __________________________________________________________ The Institute recently wrote the securities administrators of Arkansas, Indiana...

April 28, 1992 TO: BOARD OF GOVERNORS NO. 27-92 SEC RULES COMMITTEE NO. 23-92 YIELD ENHANCEMENT TASK FORCE NO. 3-92 RE: INSTITUTE LETTER TO NASD ON YIELD QUOTATIONS IN ORAL SALES COMMUNICATIONS __________________________________________________________ Attached is a copy of a letter...