SEC Rules Content

January 15, 1992 TO: SEC RULES COMMITTEE NO. 2-92 BROKER/DEALER ADVISORY COMMITTEE NO. 1-92 RE: INSTITUTE LETTER ON NASD PROPOSAL TO EXEMPT BULK EXCHANGES OF MONEY MARKET FUNDS FROM NEGATIVE RESPONSE LETTER RULE __________________________________________________________ As we...

January 7, 1992 TO: SEC RULES COMMITTEE NO. 1-92 RE: OUTSTANDING ISSUES UNDER NASD ASSET-BASED SALES CHARGE PROPOSAL AND RULE 12b-1 __________________________________________________________ As you know, the Institute recently filed a supplemental submission with the Securities and...

December 31, 1991 TO: SEC RULES COMMITTEE NO. 78-91 RE: DRAFT AGENDA FOR JANUARY 14 MEETING __________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for January 14, 1992. The meeting will be held at The Madison...

December 23, 1991 TO: BOARD OF GOVERNORS NO. 92-91 SEC RULES COMMITTEE NO. 77-91 RULE 12b-1 AD HOC COMMITTEE RE: SUPPLEMENTAL SUBMISSION TO SEC ON NASD PROPOSAL TO REGULATE ASSET-BASED SALES CHARGES __________________________________________________________ Attached for your...

December 20, 1991 TO: SEC RULES COMMITTEE NO. 74-91 BROKER/DEALER ADVISORY COMMITTEE NO. 47-91 RE: NASD PROPOSAL TO EXEMPT CERTAIN BULK EXCHANGES OF MONEY MARKET FUNDS FROM NEGATIVE RESPONSE LETTER RULE __________________________________________________________ As we previously...

December 20, 1991 TO: SEC RULES COMMITTEE NO. 75-91 RE: INSTITUTE LETTER TO NASD ON MATCHING SERVICE FOR LOAD FUNDS __________________________________________________________ As you may know, a San Diego based discount broker has established a system for matching buy and sell orders...

December 20, 1991 TO: SEC RULES COMMITTEE NO. 76-91 RE: INSTITUTE LETTER TO SEC ON WAIVERS OF LOADS FOLLOWING REDEMPTIONS FROM UNAFFILIATED FUNDS __________________________________________________________ The Institute recently submitted the attached letter to the SEC staff...

December 18, 1991 TO: BOARD OF GOVERNORS NO. 90-91 SEC RULES COMMITTEE NO. 73-91 INTERNATIONAL MEMBERS NO. 11-91 RE: CONFERENCE ON THE GLOBALIZATION OF MUTUAL FUNDS __________________________________________________________ The Investment Company Institute is co-sponsoring with the...

December 16, 1991 TO: SEC RULES COMMITTEE NO. 72-91 RE: NOTICE OF MEETING - JANUARY 14, 1992 __________________________________________________________ The SEC Rules Committee meeting has been scheduled for Tuesday, January 14, 1992 at 10:00 a.m. The meeting will be held at the...

December 12, 1991 TO: INVESTMENT ISSUES COMMITTEE NO. 22-91 SEC RULES COMMITTEE NO. 71-91 INVESTMENT ADVISERS COMMITTEE NO. 60-91 UNIT INVESTMENT TRUST COMMITTEE NO. 45-91 RE: INSTITUTE LETTER ON PROPOSED LARGE TRADER REPORTING SYSTEM __________________________________________________...