SEC Rules Content

July 16, 1991 TO: SEC RULES COMMITTEE NO. 40-91 CLOSED-END FUND COMMITTEE NO. 18-91 RE: SEC PROPOSES AMENDMENTS TO RULES GOVERNING "ROLLUP" TRANSACTIONS __________________________________________________________ The SEC has issued rule proposals aimed at curbing abuses in limited...

July 12, 1991 TO: SEC RULES COMMITTEE NO. 38-91 INVESTMENT ISSUES COMMITTEE NO. 7-91 INVESTMENT ADVISERS COMMITTEE NO. 31-91 CLOSED-END FUND COMMITTEE NO. 17-91 RE: SEC EXTENDS DEADLINE FOR COMMENTS ON REFORM OF PROXY VOTING RULES ______________________________________________________...

July 12, 1991 TO: SEC RULES COMMITTEE NO. 39-91 MONEY MARKET FUNDS AD HOC COMMITTEE NO. 19-91 RE: INSTITUTE URGES SEC TO EXEMPT TAXABLE MONEY MARKET FUNDS FROM BOARD RATIFICATION REQUIREMENT __________________________________________________________ As we recently informed you, when...

July 9, 1991 TO: INTERNATIONAL COMMITTEE NO. 12-91 INVESTMENT ADVISERS COMMITTEE NO. 29-91 SEC RULES COMMITTEE NO. 37-91 CLOSED-END FUND COMMITTEE NO. 16-91 INVESTMENT ISSUES COMMITTEE NO. 6-91 RE: SEC SEEKS COMMENTS ON PROPOSALS INTENDED TO ENCOURAGE FOREIGN RIGHTS, TENDER AND...

July 8, 1991 TO: SEC RULES COMMITTEE NO. 36-91 BROKER/DEALER ADVISORY COMMITTEE NO. 22-91 RE: NASD PROPOSAL TO EXEMPT DIRECTLY MARKETED FUNDS FROM CUSTOMER ACCOUNT INFORMATION RULE REGARDING EMPLOYMENT DATA __________________________________________________________ The NASD is...

June 19, 1991 TO: SEC RULES COMMITTEE NO. 35-91 INVESTMENT ISSUES COMMITTEE NO. 4-91 INVESTMENT ADVISERS COMMITTEE NO. 25-91 CLOSED-END FUND COMMITTEE NO. 14-91 RE: SEC SOLICITS COMMENTS ON REFORM OF PROXY VOTING RULES __________________________________________________________ The...

June 14, 1991 TO: STATE SECURITIES MEMBERS NO. 26-91 SEC RULES COMMITTEE NO. 34-91 RE: WISCONSIN WILL ACCEPT ALTERNATE DISCLOSURE FOR A FUND WITH A NON-FUNDAMENTAL INVESTMENT OBJECTIVE __________________________________________________________ Based upon the Institute's request, the...

June 11, 1991 TO: BOARD OF GOVERNORS NO. 41-91 MEMBERS - ONE PER COMPLEX NO. 27-91 SEC RULES COMMITTEE NO. 33-91 1990'S AD HOC COMMITTEE RE: THE INVESTMENT COMPANY INDUSTRY IN THE 1990'S __________________________________________________________ Enclosed is a copy of "The Investment...

June 10, 1991 TO: SEC RULES COMMITTEE NO. 32-91 CLOSED-END FUND COMMITTEE NO. 12-91 INTERNATIONAL COMMITTEE NO. 8-91 INVESTMENT ADVISERS COMMITTEE NO. 24-91 INVESTMENT ISSUES COMMITTEE NO. 3-91 RE: SEC SEEKS COMMENTS ON AMERICAN DEPOSITARY RECEIPT MARKETS _____________________________...

May 31, 1991 TO: SEC RULES COMMITTEE NO. 31-91 INTERNATIONAL MEMBERS NO. 2-91 RE: REPORTING REQUIREMENTS APPLICABLE UNDER GERMAN LAW TO U.S. INVESTMENT COMPANIES AND ADVISERS INVESTING IN GERMANY __________________________________________________________ In response to our inquiry...