SEC Rules Content

August 31, 1990 TO: SEC RULES COMMITTEE NO. 46-90 RE: NOTICE OF MEETING - OCTOBER 10, 1990 __________________________________________________________ The SEC Rules Committee meeting has been scheduled for Wednesday, October 10, 1990 at 10:00 a.m. The meeting will be held at the Vista...

August 23, 1990 TO: SEC RULES COMMITTEE NO. 45-90 INTERNATIONAL FUNDS TASK FORCE NO. 19-90 RE: SEC PROPOSES AMENDMENTS TO RULE 6c-9 __________________________________________________________ The SEC has published for comment proposed amendments to Rule 6c-9 under the Investment...

August 16, 1990 TO: SEC RULES COMMITTEE NO. 44-90 ACCOUNTING/TREASURERS COMMITTEE NO. 26-90 RE: SEC STAFF CLARIFIES POSITION ON COVERING PUT OPTIONS WRITTEN BY AN INVESTMENT COMPANY __________________________________________________________ In a recent no-action letter issued to...

August 10, 1990 TO: BOARD OF GOVERNORS NO. 57-90 SEC RULES COMMITTEE NO. 43-90 RE: INSTITUTE COMMENTS ON FED PROPOSALS TO ALLOW BANK HOLDING COMPANY SUBSIDIARIES TO BROKER SHARES OF AFFILIATED FUNDS AND TO MODIFY RESTRICTIONS ON CROSS-MARKETING AND DIRECTOR, OFFICER AND EMPLOYEE...

August 8, 1990 TO: SEC RULES COMMITTEE NO. 42-90 CLOSED-END FUND COMMITTEE NO. 17-90 BOARD OF GOVERNORS NO. 55-90 PORTFOLIO MANAGER DISCLOSURE AD HOC COMMITTEE RE: INSTITUTE SUBMITS REVISED PROPOSAL FOR PORTFOLIO MANAGER DISCLOSURE _____________________________________________________...

August 8, 1990 TO: BOARD OF GOVERNORS NO. 54-90 SEC RULES COMMITTEE NO. 41-90 1990s AD HOC COMMITTEE RE: MEETING ON DRAFT COMMENT LETTER ON SEC CONCEPT RELEASE __________________________________________________________ Attached is a first draft of the Institute's comment letter on the...

August 2, 1990 TO: SEC RULES COMMITTEE NO. 40-90 UNIT INVESTMENT TRUST COMMITTEE NO. 34-90 RE: SEC APPROVES PUBLICATION OF NOTICE OF APPLICATION OF SUPERTRUST PRODUCT FOR 1940 ACT EXEMPTIONS __________________________________________________________ On July 25, 1990, following the...

July 30, 1990 TO: SEC RULES COMMITTEE NO. 39-90 INVESTMENT ADVISERS COMMITTEE NO. 24-90 RE: INSTITUTE COMMENT LETTER ON NEW JERSEY CASINO CONTROL ACT __________________________________________________________ As we previously informed you, the New Jersey Casino Control Commission...

- 1 - July 24, 1990 TO: INSTITUTIONAL FUNDS COMMITTEE NO. 2-90 MARKETING COMMITTEE NO. 14-90 SEC RULES COMMITTEE NO. 38-90 TAX COMMITTEE NO. 17-90 RE: AUGUST 8, 1990 MEETING ON UTILIZATION OF FUNDS FOR INVESTMENT OF MUNICIPAL BOND PROCEEDS _____________________________________________...

- 1 - July 12, 1990 TO: BOARD OF GOVERNORS NO. 48-90 SEC RULES COMMITTEE NO. 37-90 RE: FED REQUESTS COMMENT ON MODIFYING RESTRICTIONS ON CROSS-MARKETING AND DIRECTOR, OFFICER AND EMPLOYEE INTERLOCKS __________________________________________________________ The Board of Governors of...