SEC Rules Content

February 5, 1991 TO: SEC RULES COMMITTEE NO. 10-91 INVESTMENT ADVISERS COMMITTEE NO. 5-91 RE: LEGISLATION INTRODUCED TO AMEND NEW JERSEY CASINO CONTROL ACT __________________________________________________________ As we previously informed you, in 1989 the New Jersey Casino...

January 31, 1991 TO: STATE SECURITIES MEMBERS NO. 7-91 SEC RULES COMMITTEE NO. 9-91 RE: INSTITUTE ASKS NEW JERSEY TO RECONSIDER REQUIRING DISTRIBUTION OF STATEMENT OF ADDITIONAL INFORMATION TO INVESTORS __________________________________________________________ The Institute was...

January 25, 1991 TO: SEC RULES COMMITTEE NO. 8-91 RE: PROPOSED AMENDMENTS TO CFTC RULE 4.5 __________________________________________________________ The Institute recently submitted to the Commodity Futures Trading Commission ("CFTC") the attached letter proposing amendments to CFTC...

January 22, 1991 TO: SEC RULES COMMITTEE NO. 7-91 RE: MEETING TO CONSIDER DEFINITION OF FOREIGN SECURITIES __________________________________________________________ At the January 10 meeting of the SEC Rules Committee, a question was raised regarding the definition of "foreign...

January 22, 1991 TO: STATE SECURITIES MEMBERS NO. 5-91 SEC RULES COMMITTEE NO. 6-91 RE: INSTITUTE COMMENTS ON ADDITIONAL ISSUES RAISED BY WISCONSIN STAFF REGARDING NON-FUNDAMENTAL OBJECTIVES __________________________________________________________ As we previously informed you, the...

January 15, 1991 TO: BOARD OF GOVERNORS NO. 7-91 FEDERAL LEGISLATION COMMITTEE NO. 2-91 MONEY MARKET FUNDS AD HOC COMMITTEE NO. 2-91 SEC RULES COMMITTEE NO. 5-91 RE: SENATE BANKING COMMITTEE LETTER TO SEC CHAIRMAN BREEDEN ON AMENDMENTS TO RULE 2a-7, RELATING TO MONEY MARKET FUND...

January 7, 1991 TO: SEC RULES COMMITTEE NO. 4-91 RE: ARIZONA DISCLOSURE FOR HIGH YIELD BOND FUNDS __________________________________________________________ The Institute was informed recently that the Arizona Securities Division was requiring certain investment companies investing in...

January 4, 1991 TO: BOARD OF GOVERNORS NO. 2-91 SEC RULES COMMITTEE NO. 3-91 1990s AD HOC COMMITTEE RE: INSTITUTE SUPPLEMENTAL MEMORANDA REGARDING REFORM OF REGULATION OF INVESTMENT COMPANIES __________________________________________________________ As you know, last October the...

January 4, 1991 TO: BOARD OF GOVERNORS NO. 1-91 SEC RULES COMMITTEE NO. 2-91 UNIT INVESTMENT TRUST COMMITTEE NO. 1-91 RE: INSTITUTE REQUESTS EXEMPTION FOR MUTUAL FUND AND UNIT INVESTMENT TRUST UNDERWRITERS FROM RECORDKEEPING AND REPORTING REQUIREMENTS UNDER THE MARKET REFORM ACT _____...

January 2, 1991 TO: SEC RULES COMMITTEE NO. 1-91 RE: DRAFT AGENDA FOR JANUARY 10 MEETING __________________________________________________________ Attached for your information is a draft agenda for the January 10 meeting of the SEC Rules Committee. The meeting will be held at the...