SEC Rules Content

May 29, 1991 TO: BOARD OF GOVERNORS NO. 36-91 SEC RULES COMMITTEE NO. 30-91 RE: SUPREME COURT OVERTURNS DECISION IN FUND PROXY CASE __________________________________________________________ The U.S. Supreme Court has overturned the decision of the Court of Appeals for the Seventh...

May 23, 1991 TO: CLOSED-END FUND COMMITTEE NO. 11-91 SEC RULES COMMITTEE NO. 29-91 RE: CONGRESS CONSIDERING AMENDMENTS TO SECTION 11(a) OF THE SECURITIES EXCHANGE ACT __________________________________________________________ The Subcommittee on Telecommunications and Finance of the...

May 16, 1991 TO: SEC RULES COMMITTEE NO. 28-91 TRANSFER AGENT ADVISORY COMMITTEE NO. 25-91 RE: INSTITUTE SUBMISSION TO SEC STAFF ON FUND LIABILITY FOR TELEPHONE TRANSACTIONS __________________________________________________________ As we recently informed you, the Institute has...

May 13, 1991 TO: SEC RULES COMMITTEE NO. 27-91 MONEY MARKET FUNDS AD HOC COMMITTEE NO. 11-91 RE: INSTITUTE COMMENTS ON SEC PROPOSAL TO EXCLUDE TAX-EXEMPT MONEY MARKET FUNDS FROM BOARD RATIFICATION REQUIREMENT __________________________________________________________ As you know, the...

May 6, 1991 TO: SEC RULES COMMITTEE NO. 26-91 UNIT INVESTMENT TRUST COMMITTEE NO. 21-91 CLOSED-END FUND COMMITTEE NO. 9-91 BROKER/DEALER ADVISORY COMMITTEE NO. 14-91 RE: NASD REPROPOSAL TO AMEND RULE GOVERNING CASH AND NON-CASH COMPENSATION ____________________________________________...

1 * New item. May 1, 1991 TO: CLOSED-END FUND COMMITTEE NO. 8-91 INVESTMENT ADVISERS COMMITTEE NO. 20-91 SEC RULES COMMITTEE NO. 25-91 UNIT INVESTMENT TRUST COMMITTEE NO. 20-91 RE: SEC SEMIANNUAL REGULATORY AGENDA __________________________________________________________ The...

April 29, 1991 TO: BOARD OF GOVERNORS NO. 28-91 SEC RULES COMMITTEE NO. 24-91 INTERNATIONAL COMMITTEE NO. 5-91 RE: INSTITUTE TESTIFIES IN SUPPORT OF THE "FAIR TRADE IN FINANCIAL SERVICES ACT OF 1991" __________________________________________________________ The Institute recently...

April 24, 1991 TO: SEC RULES COMMITTEE NO. 23-91 CLOSED-END FUND COMMITTEE NO. 7-91 UNIT INVESTMENT TRUST COMMITTEE NO. 18-91 INVESTMENT ADVISERS COMMITTEE NO. 18-91 RE: ISSUES CONCERNING NEW RULES UNDER SECTION 16 OF 1934 ACT; INSTITUTE REQUEST FOR INTERPRETIVE GUIDANCE UNDER RULE...

April 12, 1991 TO: BOARD OF GOVERNORS NO. 22-91 STATE SECURITIES MEMBERS NO. 15-91 SEC RULES COMMITTEE NO. 22-91 UNIT INVESTMENT TRUST COMMITTEE NO. 15-91 RE: INSTITUTE COMMENT LETTER ON 1991 CONFERENCE ON FEDERAL- STATE SECURITIES REGULATION __________________________________________...

April 8, 1991 TO: STATE SECURITIES MEMBERS NO. 14-91 SEC RULES COMMITTEE NO. 21-91 RE: INSTITUTE RECEIVES RESPONSE FROM NEW JERSEY REGARDING DISCLOSURE CONCERNS __________________________________________________________ As we previously informed you, the Institute responded to the New...