SEC Rules Content

May 3, 1990 TO: SEC RULES COMMITTEE NO. 27-90 RULE 12b-1 AD HOC COMMITTEE RE: NASD REQUESTS MEMBERS TO VOTE ON CDSL DISCLOSURE PROPOSAL ________________________________________________________ As we previously informed you, the NASD has proposed to required disclosure on confirmations...

May 2, 1990 TO: BOARD OF GOVERNORS NO. 34-90 SEC RULES COMMITTEE NO. 25-90 RE: FED ORDER PERMITTING BROKERAGE OF AFFILIATED FUNDS __________________________________________________________ In an order issued April 23, 1990, the Federal Reserve Board approved the application of a bank...

April 30, 1990 TO: BOARD OF GOVERNORS NO. 33-90 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 7-90 SEC RULES COMMITTEE NO. 24-90 STATE LIAISON COMMITTEE NO. 9-90 UNIT INVESTMENT TRUST COMMITTEE NO. 20-90 CALIFORNIA MEMBERS RE: CALIFORNIA MONEY MARKET LEGISLATION DROPPED _________________...

- 1 - April 23, 1990 TO: CLOSED-END FUND COMMITTEE NO. 10-90 SEC RULES COMMITTEE NO. 23-90 UNIT INVESTMENT TRUST COMMITTEE NO. 18-90 INTERNATIONAL FUNDS TASK FORCE NO. 5-90 RE: FED APPROVES AMENDMENTS TO REGULATION T PERMITTING MARGINABILITY OF CERTAIN FOREIGN SECURITIES _____________...

April 18, 1990 TO: SEC RULES COMMITTEE NO. 22-90 RE: MEETING ON 1990s STUDY ________________________________________________________ As we previously informed you, there will be a special session of the SEC Rules Committee after lunch on April 26th to discuss the Institute's work on a...

April 12, 1990 TO: SEC RULES COMMITTEE NO. 21-90 RE: DRAFT AGENDA FOR APRIL 26 MEETING ________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for April 26, 1990 at 10:00 a.m. in Washington, D.C. I am looking...

April 4, 1990 TO: BOARD OF GOVERNORS NO. 22-90 MONEY MARKET MEMBERS - ONE PER COMPLEX NO. 4-90 SEC RULES COMMITTEE NO. 20-90 STATE LIAISON COMMITTEE NO. 7-90 UNIT INVESTMENT TRUST COMMITTEE NO. 15-90 BROKER/DEALER ADVISORY COMMITTEE NO. 14-90 BROKER/DEALER ASSOCIATE MEMBERS NO. 2-90...

March 28, 1990 TO: SEC RULES COMMITTEE NO. 19-90 RE: LETTER TO STAFF CONCERNING STREAMLINING OF PROSPECTUS DISCLOSURE __________________________________________________________ AT the CCH-FBA Mutual Funds Conference last week, Kathie McGrath stated that no funds have streamlined their...

March 27, 1990 TO: SEC RULES COMMITTEE NO. 18-90 RE: BILL TO PROHIBIT SALES OF SECURITIES ON BANK PREMISES __________________________________________________________ Representatives Schumer and McMillen have introduced a bill that would ban offers and sales of securities issued by...

March 19, 1990 TO: SEC RULES COMMITTEE NO. 17-90 STATE LIAISON COMMITTEE NO. 3-90 UNIT INVESTMENT TRUST COMMITTEE NO. 11-90 INVESTMENT ADVISERS COMMITTEE NO. 9-90 RE: COMMENTS REQUESTED FOR 1990 CONFERENCE ON FEDERAL- STATE SECURITIES REGULATION AGENDA ________________________________...