SEC Rules Content

August 29, 1991 TO: SEC RULES COMMITTEE NO. 50-91 RE: SEC PROPOSES RULE AMENDMENTS REGARDING OBLIGATIONS OF BROKERS AND BANKS TO FORWARD CERTAIN SHAREHOLDER COMMUNICATIONS TO BENEFICIAL OWNERS __________________________________________________________ As we previously informed you...

August 27, 1991 TO: SEC RULES COMMITTEE NO. 49-91 RE: NOTICE OF MEETING - OCTOBER 8, 1991 __________________________________________________________ The SEC Rules Committee meeting has been scheduled for Tuesday, October 8, 1991 at 10:00 a.m. The meeting will be held at the Madison...

August 21, 1991 TO: SEC RULES COMMITTEE NO. 48-91 RE: NASD NOTICE ON USE OF "NEGATIVE RESPONSE" LETTERS IN SWITCHING CUSTOMERS FROM ONE MUTUAL FUND TO ANOTHER __________________________________________________________ In its June Notice to Members, the NASD reminded members of the...

August 14, 1991 TO: BOARD OF GOVERNORS NO. 60-91 SEC RULES COMMITTEE NO. 47-91 CLOSED-END FUND MEMBERS NO. 37-91 RE: INSTITUTE SUBMISSION TO NYSE ON REQUEST FOR RELIEF FROM SHAREHOLDER MEETING AND PROXY VOTING REQUIREMENTS __________________________________________________________ As...

August 13, 1991 TO: SEC RULES COMMITTEE NO. 46-91 CLOSED-END FUND COMMITTEE NO. 21-91 RE: INSTITUTE COMMENTS ON SEC PROPOSAL CONCERNING LIMITED PARTNERSHIP ROLL-UP TRANSACTIONS __________________________________________________________ As we previously informed you, the SEC has...

August 8, 1991 TO: BOARD OF GOVERNORS NO. 57-91 FEDERAL LEGISLATION MEMBERS NO. 15-91 FEDERAL LEGISLATION COMMITTEE NO. 16-91 SEC RULES COMMITTEE NO. 45-91 RE: BREEDEN TESTIFIES ON SEC REAUTHORIZATION __________________________________________________________ On July 25, SEC Chairman...

July 31, 1991 TO: SEC RULES COMMITTEE NO. 44-91 BROKER/DEALER ADVISORY COMMITTEE NO. 26-91 RE: INSTITUTE COMMENTS ON NASD PROPOSAL TO EXEMPT DIRECTLY MARKETED FUNDS FROM REQUIREMENT TO OBTAIN CUSTOMER EMPLOYMENT DATA __________________________________________________________ The...

July 30, 1991 TO: BOARD OF GOVERNORS NO. 55-91 SEC RULES COMMITTEE NO. 43-91 INTERNATIONAL COMMITTEE NO. 17-91 RE: INSTITUTE TESTIFIES IN SUPPORT OF THE "FAIR TRADE IN FINANCIAL SERVICES ACT OF 1991" __________________________________________________________ The Institute testified...

July 23, 1991 TO: SEC RULES COMMITTEE NO. 42-91 RE: INSTITUTE LETTER TO SEC STAFF REGARDING RESPONSIBILITIES ASSIGNED TO INVESTMENT COMPANY DIRECTORS __________________________________________________________ The Institute recently submitted to the Division of Investment Management...

July 16, 1991 TO: INTERNATIONAL COMMITTEE NO. 16-91 INVESTMENT ADVISERS COMMITTEE NO. 32-91 SEC RULES COMMITTEE NO. 41-91 CLOSED-END FUND COMMITTEE NO. 19-91 INVESTMENT ISSUES COMMITTEE NO. 8-91 RE: SEC ADOPTS MULTIJURISDICTIONAL DISCLOSURE SYSTEM AND MODIFICATIONS TO CURRENT...