SEC Rules Content

November 27, 1991 TO: SEC RULES COMMITTEE NO. 70-91 RE: NOTICE OF INFORMAL MEETING WITH SEC STAFF MEMBERS ON DECEMBER 12 __________________________________________________________ For the last several years, in conjunction with the Procedures Conference, the Institute has scheduled...

November 26, 1991 TO: SEC RULES COMMITTEE NO. 69-91 INVESTMENT ADVISERS COMMITTEE NO. 58-91 INVESTMENT ISSUES COMMITTEE NO. 19-91 RE: SEC EXTENDS COMMENT PERIOD FOR LARGE TRADER REPORTING PROPOSAL __________________________________________________________ As we previously informed you...

- 1 - November 22, 1991 TO: SEC RULES COMMITTEE NO. 68-91 OPERATIONS COMMITTEE NO. 36-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 56-91 RE: ICI COMMENTS ON SEC PROPOSAL REGARDING ACCEPTANCE OF SIGNATURE GUARANTEES __________________________________________________________ As we...

November 22, 1991 TO: SEC RULES COMMITTEE NO. 67-91 UNIT INVESTMENT TRUST COMMITTEE NO. 40-91 RE: SEC EXTENDS DEADLINE FOR COMMENTS ON PROPOSED TEMPORARY BROKER-DEALER RISK ASSESSMENT RULES __________________________________________________________ As we previously informed you, the...

November 20, 1991 T O: SEC RULES COMMITTEE NO. 66-91 UNIT INVESTMENT TRUST COMMITTEE NO. 39-91 BROKER/DEALER ADVISORY COMMITTEE NO. 38-91 R E: NASD SOLICITS VOTE ON PROPOSED AMENDMENTS TO RULE GOVERNING CASH AND NON-CASH COMPENSATION ___________________________________________________...

November 8, 1991 TO: SEC RULES COMMITTEE NO. 65-91 UNIT INVESTMENT TRUST COMMITTEE NO. 37-91 RE: INSTITUTE COMMENT LETTER ON PROPOSED TEMPORARY RISK ASSESSMENT AND REPORTING REQUIREMENTS FOR BROKER-DEALERS __________________________________________________________ As previously...

November 8, 1991 TO: SEC RULES COMMITTEE NO. 64-91 RE: INSTITUTE COMMENT LETTER SUPPORTS PROPOSED MUTUAL FUND PROXY FORWARDING REQUIREMENTS __________________________________________________________ As reported earlier, the SEC has proposed amendments to certain shareholder...

November 7, 1991 TO: CLOSED-END FUND COMMITTEE NO. 29-91 INVESTMENT ADVISERS COMMITTEE NO. 54-91 SEC RULES COMMITTEE NO. 63-91 UNIT INVESTMENT TRUST COMMITTEE NO. 36-91 RE: SEC SEMIANNUAL REGULATORY AGENDA __________________________________________________________ The Securities and...

October 11, 1991 TO: SEC RULES COMMITTEE NO. 62-91 INVESTMENT ADVISERS COMMITTEE NO. 52-91 RE: MEETING TO DISCUSS SEC LARGE TRADER REPORTING PROPOSAL __________________________________________________________ The Institute has scheduled a meeting for October 31, 1991 to discuss the...

October 2, 1991 TO: SEC RULES COMMITTEE NO. 61-91 1990's AD HOC COMMITTEE RE: INSTITUTE LETTER TO NASD ON ADVERTISING RULES __________________________________________________________ Attached is a copy of a letter recently submitted by the Institute to the Investment Companies...