SEC Rules Content

December 18, 1990 TO: STATE SECURITIES MEMBERS NO. 34-90 SEC RULES COMMITTEE NO. 66-90 RE: WISCONSIN TO REQUIRE PRIOR NOTICE TO SHAREHOLDERS IF FUND CHANGES PRIMARY INVESTMENT OBJECTIVE __________________________________________________________ As we previously informed you, the staff...

December 17, 1990 TO: SEC RULES COMMITTEE NO. 64-90 RE: NOTICE OF MEETING - JANUARY 10, 1991 __________________________________________________________ The SEC Rules Committee meeting has been scheduled for Thursday, January 10, 1991 at 10:00 a.m. The meeting will be held at the...

December 17, 1990 TO: CLOSED-END FUND COMMITTEE NO. 27-90 OPERATIONS COMMITTEE NO. 27-90 SEC RULES COMMITTEE NO. 65-90 ACCOUNTING/TREASURERS COMMITTEE NO. 38-90 INDEPENDENT ACCOUNTANTS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE NO. 52-90 INTERNATIONAL FUNDS TASK FORCE NO. 30-90...

November 26, 1990 TO: SEC RULES COMMITTEE NO. 63-90 INTERNATIONAL FUNDS TASK FORCE NO. 28-90 RE: INSTITUTE COMMENT LETTER ON PROPOSED AMENDMENTS TO RULE 6c-9 __________________________________________________________ Attached is a copy of the Institute's comment letter on the proposed...

1 * New item. November 20, 1990 TO: CLOSED-END FUND COMMITTEE NO. 26-90 INVESTMENT ADVISERS COMMITTEE NO. 40-90 SEC RULES COMMITTEE NO. 62-90 UNIT INVESTMENT TRUST COMMITTEE NO. 52-90 RE: SEC SEMIANNUAL REGULATORY AGENDA __________________________________________________________ The...

-1- November 16, 1990 TO: SEC RULES COMMITTEE NO. 61-90 HIGH YIELD BOND TASK FORCE RE: STATE COMPLAINTS ALLEGING MISLEADING PROSPECTUS DISCLOSURE BY HIGH YIELD BOND FUNDS __________________________________________________________ As you may know, the New York State Attorney General...

November 15, 1990 TO: SEC RULES COMMITTEE NO. 60-90 STATE LIAISON COMMITTEE NO. 28-90 CLOSED-END FUND COMMITTEE NO. 25-90 UNIT INVESTMENT TRUST COMMITTEE NO. 50-90 RE: CALIFORNIA ISSUES AMENDED PROPOSED FINAL ANTI-APARTHEID DISCLOSURE REGULATIONS ______________________________________...

- 1 - November 14, 1990 TO: SEC RULES COMMITTEE NO. 59-90 RE: SPECIAL MEETING DURING SEC/ICI PROCEDURES CONFERENCE __________________________________________________________ Those of you who are planning to attend the 1990 SEC/ICI Procedures Conference are invited to attend a special...

November 7, 1990 TO: SEC RULES COMMITTEE NO. 58-90 INTERNATIONAL FUNDS TASK FORCE NO. 26-90 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED AMENDMENTS TO RULE 6c-9 __________________________________________________________ As we previously informed you, the SEC has proposed amendments...

October 26, 1990 TO: SEC RULES COMMITTEE NO. 57-90 INTERNATIONAL FUNDS TASK FORCE NO. 25-90 RE: STATUS OF SECURITIES TRADED IN A MARKET WHEN THE NORMAL SETTLEMENT PERIOD IS MORE THAN SEVEN DAYS __________________________________________________________ We recently learned of a fund...