SEC Rules Content

January 22, 1990 TO: SEC RULES COMMITTEE NO. 6-90 CLOSED-END FUND COMMITTEE NO. 3-90 RE: RECENTLY PROPOSED SECURITIES LEGISLATION __________________________________________________________ Attached are copies of three recently introduced bills, which are briefly described below. (1)...

January 17, 1990 TO: SEC RULES COMMITTEE NO. 5-90 RE: FORMATION OF COMPLIANCE COMMITTEE __________________________________________________________ At the SEC Rules Committee meeting held on January 11, 1990, the Institute proposed forming a committee to address compliance issues. The...

January 12, 1990 TO: BOARD OF GOVERNORS NO. 5-90 SEC RULES COMMITTEE NO. 3-90 RE: INSTITUTE AMICUS BRIEF IN BANK UNDERWRITING OF MORTGAGE-BACKED SECURITIES CASE __________________________________________________________ The Institute has submitted an amicus curiae brief in support of...

January 12, 1990 TO: SEC RULES COMMITTEE NO. 4-90 RE: MEETING ON PROPOSED AMENDMENTS TO FORM N-1A __________________________________________________________ A meeting has been scheduled for Thursday, February 1 to discuss the SEC's proposed amendments to Form N-1A (including the...

January 8, 1990 TO: PENSION MEMBERS NO. 1-90 UNIT INVESTMENT TRUST MEMBERS NO. 1-90 SEC RULES COMMITTEE NO. 2-90 RE: FDIC PROPOSES AMENDMENTS TO REGULATIONS CONCERNING PASS-THROUGH INSURANCE __________________________________________________________ The Federal Deposit Insurance...

January 2, 1990 TO: SEC RULES COMMITTEE NO. 1-90 INTERNATIONAL FUNDS TASK FORCE NO. 1-90 RE: GUIDELINES FOR LICENSING NON-JAPANESE INVESTMENT TRUST MANAGEMENT FIRMS __________________________________________________________ As you may know, the Japanese Ministry of Finance recently...

December 29, 1989 TO: BOARD OF GOVERNORS NO. 79-89 SEC RULES COMMITTEE NO. 82-89 RE: FED ORDER ALLOWS BANK HOLDING COMPANY SUBSIDIARY TO BROKER SHARES OF AFFILIATED FUNDS __________________________________________________________ In an order issued December 20, 1989, the Federal...

December 27, 1989 TO: SEC RULES COMMITTEE NO. 81-89 RE: AD HOC COMMITTEE TO EXAMINE PROSPECTUS DISCLOSURE REQUIREMENTS __________________________________________________________ As you know, the SEC has proposed an amendment to the Form N-2 requiring disclosure of fund portfolio...

December 21, 1989 TO: SEC RULES COMMITTEE NO. 80-89 RE: LETTER TO SEC REGARDING PENDING MATTERS __________________________________________________________ As you may recall, the Institute assembled last spring a list of pending matters that had not yet been addressed by the SEC staff...

December 18, 1989 TO: PENSION MEMBERS NO. 54-89 UNIT INVESTMENT TRUST MEMBERS NO. 69-89 SEC RULES COMMITTEE NO. 78-89 RE: INSTITUTE COMMENTS ON FDIC PASS-THROUGH DEPOSIT INSURANCE STUDY __________________________________________________________ As we previously informed you, the...