SEC Rules Content

November 9, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 46-89 SEC RULES COMMITTEE NO. 69-89 RE: MEETING TO DISCUSS RECIPROCAL REGISTRATION OF INVESTMENT ADVISERS IN THE U.S. AND U.K. __________________________________________________________ The SEC and the Investment Management...

November 7, 1989 TO: SEC RULES COMMITTEE NO. 67-89 RE: SPECIAL MEETING DURING SEC/ICI PROCEDURES CONFERENCE __________________________________________________________ Those of you who are planning to attend the 1989 SEC/ICI Procedures Conference are invited to attend a special meeting...

- 1 - November 3, 1989 TO: BOARD OF GOVERNORS NO. 68-89 SEC RULES COMMITTEE NO. 66-89 CLOSED-END FUND COMMITTEE NO. 48-89 UNIT INVESTMENT TRUST COMMITTEE NO. 74-89 RE: FED APPROVES APPLICATION OF BANK HOLDING COMPANY TO ENGAGE IN PRIVATE PLACEMENTS, BUT EXCLUDES SHARES OF AFFILIATED...

November 2, 1989 TO: SEC RULES COMMITTEE NO. 65-89 CLOSED-END FUND COMMITTEE NO. 47-89 UNIT INVESTMENT TRUST COMMITTEE NO. 73-89 INVESTMENT ADVISERS COMMITTEE NO. 44-89 RE: INSTITUTE COMMENT LETTER ON AMENDMENTS TO RULES UNDER SECTION 16 _______________________________________________...

- 1 - October 16, 1989 TO: SEC RULES COMMITTEE NO. 64-89 CLOSED-END FUND COMMITTEE NO. 45-89 UNIT INVESTMENT TRUST COMMITTEE NO. 71-89 INVESTMENT ADVISERS COMMITTEE NO. 42-89 RE: DRAFT INSTITUTE COMMENT LETTER ON AMENDMENTS TO RULES UNDER SECTION 16 ___________________________________...

- 1 - October 12, 1989 TO: SEC RULES COMMITTEE NO. 63-89 CLOSED-END FUND COMMITTEE NO. 44-89 UNIT INVESTMENT TRUST COMMITTEE NO. 69-89 INTERNATIONAL FUNDS TASK FORCE NO. 18-89 RE: INSTITUTE COMMENT LETTER ON PROPOSED AMENDMENTS TO RULE 12d3-1 __________________________________________...

October 11, 1989 TO: SEC RULES COMMITTEE NO. 61-89 BROKER/DEALER ADVISORY COMMITTEE NO. 47-89 RE: SEC PROPOSES AMENDMENTS TO NET CAPITAL RULE __________________________________________________________ The Securities and Exchange Commission has proposed amendments to the net capital...

October 11, 1989 TO: BOARD OF GOVERNORS NO. 62-89 SEC RULES COMMITTEE NO. 62-89 RE: INSTITUTE SUBMISSION TO SEC CONCERNING THE STATUS OF ASSET- BACKED SECURITIES POOLS UNDER THE INVESTMENT COMPANY ACT OF 1940 __________________________________________________________ In recent months...

October 10, 1989 TO: SEC RULES COMMITTEE NO. 60-89 RE: SEC PARTICIPATION IN REORGANIZATION PROCEEDINGS __________________________________________________________ The SEC has issued a release seeking comments on the scope of its participation in bankruptcy proceedings under Chapter 11...

October 4, 1989 TO: CLOSED-END FUND COMMITTEE NO. 41-89 SEC RULES COMMITTEE NO. 59-89 ADVERTISING SUBCOMMITTEE RE: MEETING TO DISCUSS DRAFT COMMENT LETTER ON PROPOSED REVISIONS TO FORM N-2 __________________________________________________________ Attached is a copy of the Institute's...