SEC Rules Content

December 18, 1989 TO: SEC RULES COMMITTEE NO. 79-89 RE: SEC PARTICIPATION IN REORGANIZATION PROCEEDINGS __________________________________________________________ As we previously informed you, the SEC has issued a release seeking comments on the scope of its participation in...

December 14, 1989 TO: CLOSED-END FUND COMMITTEE NO. 52-89 OPERATIONS COMMITTEE NO. 25-89 SEC RULES COMMITTEE NO. 77-89 UNIT INVESTMENT TRUST COMMITTEE NO. 84-89 AD HOC COMMITTEE ON UNCLAIMED PROPERTY RE: JANUARY 12 MEETING TO DISCUSS UNCLAIMED PROPERTY LAWS ___________________________...

December 13, 1989 TO: BOARD OF GOVERNORS NO. 75-89 MONEY MARKET FUND CHIEF EXECUTIVE OFFICERS NO. 11-89 SEC RULES COMMITTEE NO. 76-89 RE: SEC STAFF RESPONSE TO INSTITUTE LETTER ON MONEY MARKET FUNDS __________________________________________________________ Attached is a copy of the...

December 11, 1989 TO: SEC RULES COMMITTEE NO. 75-89 STATE LIAISON COMMITTEE NO. 19-89 RE: NOTICE OF MEETING - JANUARY 11, 1990 __________________________________________________________ The SEC Rules Committee and State Liaison Committee meetings have been scheduled for Thursday...

November 28, 1989 TO: PENSION MEMBERS NO. 51-89 UNIT INVESTMENT TRUST MEMBERS NO. 64-89 SEC RULES COMMITTEE NO. 74-89 RE: FDIC STUDY ON PASS-THROUGH DEPOSIT INSURANCE __________________________________________________________ The Federal Deposit Insurance Corporation ("FDIC") is...

November 17, 1989 TO: SEC RULES COMMITTEE NO. 73-89 RE: LETTERS FROM OUTSIDE DIRECTORS ON SEC PROPOSAL TO DISCLOSE IDENTITY OF PORTFOLIO MANAGERS __________________________________________________________ As many of you may recall, at the October meeting of the SEC Rules Committee, we...

November 10, 1989 TO: SEC RULES COMMITTEE NO. 71-89 BROKER/DEALER ADVISORY COMMITTEE NO. 52-89 RE: AMENDMENTS TO SERIES 6 EXAMINATION AND STUDY OUTLINE __________________________________________________________ The NASD has recently amended the examination specifications and study...

November 10, 1989 TO: CLOSED-END FUND COMMITTEE NO. 50-89 INVESTMENT ADVISERS COMMITTEE NO. 47-89 SEC RULES COMMITTEE NO. 72-89 UNIT INVESTMENT TRUST COMMITTEE NO. 78-89 RE: SEC SEMIANNUAL REGULATORY AGENDA __________________________________________________________ The Securities and...

November 10, 1989 TO: BOARD OF GOVERNORS NO. 70-89 SEC RULES COMMITTEE NO. 70-89 MONEY MARKET FUND CHIEF EXECUTIVE OFFICERS NO. 9-89 RE: INSTITUTE LETTER TO SEC STAFF CONCERNING REGULATION OF MONEY MARKET FUNDS __________________________________________________________ Attached is a...

November 9, 1989 TO: CLOSED-END FUND COMMITTEE NO. 49-89 INVESTMENT ADVISERS COMMITTEE NO. 45-89 PENSION COMMITTEE NO. 16-89 SEC RULES COMMITTEE NO. 68-89 STATE LIAISON COMMITTEE NO. 17-89 TAX COMMITTEE NO. 18-89 UNIT INVESTMENT TRUST COMMITTEE NO. 77-89 RE: INDEX TO ICI MEMORANDA ___...