SEC Rules Content

March 9, 1992 TO: SEC RULES COMMITTEE NO. 12-92 RE: NOTICE OF MEETING - APRIL 29, 1992 __________________________________________________________ The SEC Rules Committee meeting has been scheduled for Wednesday, April 29, 1992 at 10: 00 a.m. The meeting will be held at the Sheraton...

March 5, 1992 TO: SEC RULES COMMITTEE NO. 11-92 STATE LIAISON COMMITTEE NO. 8-92 UNIT INVESTMENT TRUST COMMITTEE NO. 12-92 RE: SEC URGES FEDERAL APPEALS COURT TO AFFIRM DISTRICT COURT DECISION AGAINST FUNDS THAT FAILED TO REGISTER WITH STATES __________________________________________...

March 4, 1992 TO: SEC RULES COMMITTEE NO. 9-92 STATE LIAISON COMMITTEE NO. 6-92 RE: INSTITUTE COMMENTS ON NASAA "HUB AND SPOKE" DISCLOSURE __________________________________________________________ As we previously advised you, last month the NASAA Investment Company Registration...

March 4, 1992 TO: SEC RULES COMMITTEE NO. 10-92 STATE LIAISON COMMITTEE NO. 7-92 FLORIDA MEMBERS FLORIDA ASSOCIATE MEMBERS RE: LEGISLATION INTRODUCED IN FLORIDA TO REQUIRE PROSPECTUS DISCLOSURE OF "DOING BUSINESS IN CUBA" __________________________________________________________ A...

February 18, 1992 TO: SEC RULES COMMITTEE NO. 8-92 STATE LIAISON COMMITTEE NO. 4-92 RE: NASAA COMMITTEE ISSUES "HUB AND SPOKE" DISCLOSURE LANGUAGE __________________________________________________________ The NASAA Investment Company Registration/Trading Practices Committee recently...

February 11, 1992 TO: SEC RULES COMMITTEE NO. 7-92 ACCOUNTING/TREASURERS COMMITTEE NO. 10-92 RE: ELIMINATION OF UNNECESSARY REGULATION TO PROMOTE CAPITAL FORMATION __________________________________________________________ In President Bush's recent State of the Union address, he...

February 5, 1992 TO: BOARD OF GOVERNORS NO. 9-92 SEC RULES COMMITTEE NO. 6-92 RE: SEC BUDGET REQUEST FOR FISCAL YEAR 1993 __________________________________________________________ Attached is a copy of the budget estimate of the Securities and Exchange Commission for fiscal year 1993...

January 23, 1992 TO: BOARD OF GOVERNORS NO. 7-92 INTERNATIONAL COMMITTEE NO. 2-92 SEC RULES COMMITTEE NO. 5-92 RE: INSTITUTE TESTIFIES IN SUPPORT OF H.R. 3503, THE "FAIR TRADE IN FINANCIAL SERVICES ACT OF 1991" __________________________________________________________ The Institute...

January 20, 1992 TO: OPERATIONS COMMITTEE NO. 1-92 SEC RULES COMMITTEE NO. 4-92 TRANSFER AGENT ADVISORY COMMITTEE NO. 3-92 UNIT INVESTMENT TRUST COMMITTEE NO. 5-92 RE: INSTITUTE LETTER TO SEC STAFF ON SHAREHOLDER CONFIRMATION DELIVERY REQUIREMENTS UNDER RULE 10b-10 ___________________...

January 15, 1992 TO: SEC RULES COMMITTEE NO. 3-92 UNIT INVESTMENT TRUST COMMITTEE NO. 2-92 MONEY MARKET FUNDS AD HOC COMMITTEE NO. 2-92 RE: FORMATION OF SECONDARY MARKET DISCLOSURE TASK FORCE __________________________________________________________ Several Institute members have...