SEC Rules Content

October 16, 1990 TO: BOARD OF GOVERNORS NO. 75-90 SEC RULES COMMITTEE NO. 56-90 RE: INSTITUTE TESTIMONY ON OCC COMMON TRUST FUND PROPOSAL __________________________________________________________ On October 4, the Institute testified before the Telecommunications and Finance...

11/ The contents of these documents form the basis for the investment company's financial statements as required under Section 30 of the 1940 Act. October 11, 1990 TO: CLOSED-END FUND COMMITTEE NO. 22-90 SEC RULES COMMITTEE NO. 55-90 INTERNATIONAL FUNDS TASK FORCE NO. 23-90 COMPLIANCE...

September 25, 1990 TO: SEC RULES COMMITTEE NO. 54-90 RE: DRAFT AGENDA FOR OCTOBER 10 MEETING __________________________________________________________ Attached for your information is a draft agenda for the October 10 meeting of the SEC Rules Committee. The meeting will be held at...

September 24, 1990 TO: INVESTMENT ADVISERS COMMITTEE NO. 32-90 SEC RULES COMMITTEE NO. 52-90 CLOSED-END FUND COMMITTEE NO. 21-90 INTERNATIONAL FUNDS TASK FORCE NO. 22-90 RE: INSTITUTE FILES COMMENT LETTER SUPPORTING SEC'S PROPOSED CONCEPTUAL APPROACH REGARDING MULTINATIONAL TENDER AND...

September 24, 1990 TO: BOARD OF GOVERNORS NO. 68-90 SEC RULES COMMITTEE NO. 53-90 RE: FED AUTHORIZES EQUITY UNDERWRITING FOR SECTION 20 SUBSIDIARY __________________________________________________________ The Federal Reserve Board has given final approval for a bank holding company...

September 20, 1990 TO: SEC RULES COMMITTEE NO. 51-90 STATE SECURITIES MEMBERS NO. 28-90 RE: WISCONSIN AND ARIZONA ISSUE COMMENTS WITH RESPECT TO CHANGES IN A FUND'S INVESTMENT OBJECTIVE __________________________________________________________ During the NASAA Fall Conference in...

September 7, 1990 TO: BOARD OF GOVERNORS NO. 64-90 SEC RULES COMMITTEE NO. 50-90 INTERNATIONAL FUNDS TASK FORCE NO. 21-90 RE: SENATE BANKING COMMITTEE APPROVES S.2820, THE "FAIR TRADE IN FINANCIAL SERVICES ACT" __________________________________________________________ The Senate...

September 6, 1990 TO: SEC RULES COMMITTEE NO. 49-90 SUBCOMMITTEE ON ADVERTISING RE: NASAA COMMITTEE TO REVIEW SALES LITERATURE FILING REQUIREMENT __________________________________________________________ The Institute has been working for several years to eliminate the sales...

September 5, 1990 TO: SEC RULES COMMITTEE NO. 48-90 INTERNATIONAL FUNDS TASK FORCE NO. 20-90 RE: INSTITUTE'S DRAFT COMMENT LETTER ON SEC'S PROPOSED CONCEPTUAL APPROACH REGARDING MULTINATIONAL TENDER AND EXCHANGE OFFERS __________________________________________________________ As we...

1 */ NDFs are trust funds established by electrical utilities to accumulate the money necessary to decommission nuclear power plants. September 4, 1990 TO: SEC RULES COMMITTEE NO. 47-90 TAX COMMITTEE NO. 27-90 RE: INSTITUTE FILES COMMENTS WITH THE IRS ON NUCLEAR DECOMMISSIONING FUND...