SEC Rules Content

-1- September 24, 1991 TO: BOARD OF GOVERNORS NO. 73-91 MEMBERS - ONE PER COMPLEX NO. 42-91 OPERATIONS COMMITTEE NO. 29-91 SEC RULES COMMITTEE NO. 58-91 RE: SAFETY OF CASH HELD BY CUSTODIAN BANKS __________________________________________________________ The Institute has been...

September 24, 1991 TO: SEC RULES COMMITTEE NO. 59-91 RE: DRAFT AGENDA FOR OCTOBER 8 MEETING __________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for October 8, 1991. The meeting will be held at The Madison...

September 24, 1991 TO: SEC RULES COMMITTEE NO. 60-91 INVESTMENT ISSUES COMMITTEE NO. 16-91 INVESTMENT ADVISERS COMMITTEE NO. 49-91 CLOSED-END FUND COMMITTEE NO. 24-91 RE: INSTITUTE COMMENT LETTER ON PROXY REFORM __________________________________________________________ Attached is a...

September 20, 1991 TO: SEC RULES COMMITTEE NO. 57-91 OPERATIONS COMMITTEE NO. 28-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 43-91 RE: SEC PROPOSAL CONCERNING TRANSFER AGENT RESPONSIBILITIES FOR ACCEPTING SIGNATURE GUARANTEES FROM ELIGIBLE GUARANTOR INSTITUTIONS _________________________...

September 16, 1991 TO: SEC RULES COMMITTEE NO. 56-91 RE: "FINANCIAL FRAUD DETECTION AND DISCLOSURE ACT"; ACCOUNTING PROVISIONS IN HOUSE ENERGY AND COMMERCE COMMITTEE FINANCIAL SERVICES RESTRUCTURING BILL __________________________________________________________ On August 1, 1991...

September 16, 1991 TO: SEC RULES COMMITTEE NO. 55-91 UNIT INVESTMENT TRUST COMMITTEE NO. 30-91 BROKER/DEALER ADVISORY COMMITTEE NO. 31-91 INSURANCE BROKER-DEALER ADVISORY COMMITTEE NO. 10-91 RE: SEC PROPOSES TEMPORARY RULES TO IMPLEMENT BROKER-DEALER RISK ASSESSMENT PROVISIONS OF...

September 11, 1991 TO: INTERNATIONAL COMMITTEE NO. 22-91 INVESTMENT ADVISERS COMMITTEE NO. 42-91 SEC RULES COMMITTEE NO. 54-91 CLOSED-END FUND COMMITTEE NO. 23-91 INVESTMENT ISSUES COMMITTEE NO. 13-91 RE: INSTITUTE SUBMITS COMMENT LETTER REGARDING FOREIGN TENDER, EXCHANGE AND RIGHTS...

September 9, 1991 TO: SEC RULES COMMITTEE NO. 53-91 INVESTMENT ISSUES COMMITTEE NO. 12-91 RE: DRAFT INSTITUTE COMMENT LETTER ON PROXY REFORM __________________________________________________________ As we previously informed you, the SEC has proposed amendments to the proxy rules...

August 30, 1991 TO: SEC RULES COMMITTEE NO. 52-91 INVESTMENT ISSUES COMMITTEE NO. 10-91 RE: SEC PROPOSAL TO ESTABLISH AN ACTIVITY-BASED LARGE TRADER REPORTING SYSTEM _______________________________________________________ The SEC has published for comment proposed Rule 13h-1 under the...

August 29, 1991 TO: BROKER/DEALER ADVISORY COMMITTEE NO. 29-91 DIRECT MARKETING COMMITTEE NO. 30-91 OPERATIONS COMMITTEE NO. 26-91 SALES FORCE MARKETING COMMITTEE NO. 30-91 SEC RULES COMMITTEE NO. 51-91 SHAREHOLDER COMMUNICATIONS COMMITTEE NO. 26-91 RE: PROPOSED TELEMARKETING...