SEC Rules Content

April 21, 1992 TO: SEC RULES COMMITTEE NO. 22-92 RE: DRAFT AGENDA FOR APRIL 29 MEETING __________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for April 29, 1992. The meeting will be held at the Sheraton...

April 20, 1992 TO: SEC RULES COMMITTEE NO. 21-92 CLOSED-END FUND COMMITTEE NO. 7-92 RE: INSTITUTE LETTER ON NYSE PROPOSAL TO AMEND THE PROXY VOTING REQUIREMENTS FOR INITIAL APPROVAL OF ADVISORY AGREEMENT __________________________________________________________ As we previously...

April 16, 1992 TO: SEC RULES COMMITTEE NO. 20-92 STATE LIAISON COMMITTEE NO. 15-92 RE: INSTITUTE SUBMITS FOLLOW-UP COMMENTS TO NASSA COMMITTEE ON "HUB AND SPOKE" DISCLOSURE __________________________________________________________ As you know, the Institute submitted comments to the...

April 3, 1992 TO: SEC RULES COMMITTEE NO. 19-92 STATE LIAISON COMMITTEE NO. 13-92 RE: SEC STAFF REPORT ON "HUB AND SPOKE" FUNDS REQUESTED __________________________________________________________ Representative John D. Dingell, Chairman of the U.S. House Committee on Energy and...

April 2, 1992 TO: SEC RULES COMMITTEE NO. 18-92 AD HOC TASK FORCE ON RULE 12b-1 ISSUES RE: CHAIRMAN BREEDEN IS ASKED TO REPORT TO CONGRESS ON ISSUES RAISED BY 12b-1 AND OTHER MUTUAL FUND FEES __________________________________________________________ In a recent letter to SEC Chairman...

March 30, 1992 TO: BOARD OF GOVERNORS NO. 21-92 STATE SECURITIES MEMBERS NO. 15-92 INVESTMENT ADVISER MEMBERS NO. 12-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 9-92 SEC RULES COMMITTEE NO. 16-92 RE: INSTITUTE COMMENT LETTER ON 1992 CONFERENCE ON FEDERAL- STATE SECURITIES REGULATION _...

March 30, 1992 TO: SEC RULES COMMITTEE NO. 17-92 CLOSED-END FUND COMMITTEE NO. 4-92 RE: PROPOSED AMENDMENT TO NYSE PROXY VOTING REQUIREMENTS FOR INITIAL APPROVAL OF MANAGEMENT AGREEMENT __________________________________________________________ As you may recall, the Institute...

March 25, 1992 TO: BOARD OF GOVERNORS NO. 20-92 SEC RULES COMMITTEE NO. 15-92 RE: SEC REGULATORY AND LEGISLATIVE PROPOSALS CONCERNING SMALL BUSINESS INITIATIVES __________________________________________________________ The Securities Exchange Commission has developed a package of...

March 19, 1992 TO: SEC RULES COMMITTEE NO. 14-92 STATE LIAISON COMMITTEE NO. 11-92 RE: INSTITUTE SUBMITS COMMENTS TO TEXAS ON STAFF 12B-1 FEE POSITION __________________________________________________________ As you know, Texas is one of the four remaining states without a maximum...

March 12, 1992 TO: SEC RULES COMMITTEE NO. 13-92 TASK FORCE ON FEE DISCLOSURE ISSUES RE: NOTICE OF MEETING OF TASK FORCE - APRIL 7, 1992 __________________________________________________________ The first meeting of the Task Force on Fee Disclosure Issues (which was established at...