SEC Rules Content

March 15, 1990 TO: SEC RULES COMMITTEE NO. 16-90 RE: NOTICE OF MEETING - APRIL 26, 1990 __________________________________________________________ The SEC Rules Committee meeting has been scheduled for Thursday, April 26, 1990 at 10:00 a.m. The meeting will be held at the Ramada...

March 9, 1990 TO: BOARD OF GOVERNORS NO. 16-90 SEC RULES COMMITTEE NO. 15-90 STATE LIAISON COMMITTEE NO. 2-90 UNIT INVESTMENT TRUST COMMITTEE NO. 8-90 RE: PROPOSED TENNESSEE LEGISLATION ________________________________________________________ As you know, many state laws provide that...

February 21, 1990 TO: BOARD OF GOVERNORS NO. 12-90 SEC RULES COMMITTEE NO. 13-90 RE: CERTIORARI DENIED IN BANK UNDERWRITING OF MORTGAGE-BACKED SECURITIES CASE __________________________________________________________ The U.S. Supreme Court has denied the petition for certiorari of...

February 21, 1990 TO: CLOSED-END FUND COMMITTEE NO. 7-90 SEC RULES COMMITTEE NO. 12-90 RE: SEC PROPOSES REVISIONS TO ENFORCEMENT LEGISLATION; THE "SMALL INVESTOR PROTECTION ACT OF 1990" __________________________________________________________ Set forth below are brief descriptions...

February 21, 1990 TO: SEC RULES COMMITTEE NO. 14-90 ACCOUNTING/TREASURERS COMMITTEE NO. 6-90 OPERATIONS COMMITTEE NO. 4-90 ADVERTISING SUBCOMMITTEE RE: DRAFT COMMENT LETTER ON PROPOSED REVISIONS TO FORM N-1A __________________________________________________________ Attached is a copy...

- 1 - February 7, 1990 TO: BOARD OF GOVERNORS NO. 10-90 ACCOUNTING/TREASURERS COMMITTEE NO. 3-90 CLOSED-END FUND COMMITTEE NO. 6-90 OPERATIONS COMMITTEE NO. 2-90 PENSION COMMITTEE NO. 3-90 SEC RULES COMMITTEE NO. 10-90 TAX COMMITTEE NO. 3-90 UNIT INVESTMENT TRUST COMMITTEE NO. 6-90 RE...

February 7, 1990 TO: BOARD OF GOVERNORS NO. 11-90 SEC RULES COMMITTEE NO. 11-90 RE: COMPTROLLER PROPOSES REMOVING RESTRICTIONS ON BANK COMMON TRUST FUNDS __________________________________________________________ The Office of the Comptroller of the Currency has proposed amendments to...

February 5, 1990 TO: SEC RULES COMMITTEE NO. 9-90 UNIT INVESTMENT TRUST COMMITTEE NO. 5-90 CLOSED-END FUND COMMITTEE NO. 5-90 RE: SEC FEE INCREASE IN PRESIDENT'S BUDGET __________________________________________________________ The fiscal year 1991 budget proposal submitted by the...

February 1, 1990 TO: SEC RULES COMMITTEE NO. 8-90 RE: Pennsylvania Anti-Takeover Legislation __________________________________________________________ At the January 11 SEC Rules Committee meeting, we briefly discussed the proposed anti-takeover legislation that Pennsylvania is...

January 31, 1990 TO: SEC RULES COMMITTEE NO. 7-90 PROSPECTUS REFORM AD HOC COMMITTEE RE: FEBRUARY 15 MEETING OF PROSPECTUS REFORM AD HOC COMMITTEE __________________________________________________________ The Institute has formed an ad hoc committee to review current prospectus...