SEC Rules Content

August 9, 1989 TO: SEC RULES COMMITTEE NO. 49-89 INVESTMENT ADVISERS COMMITTEE NO. 34-89 RE: CUSTODIAN PERFORMANCE IN FORWARDING PROXY MATERIALS __________________________________________________________ At a recent meeting with the staff of the Division of Investment Management...

August 8, 1989 TO: SEC RULES COMMITTEE NO. 47-89 CLOSED-END FUND COMMITTEE NO. 32-89 ACCOUNTING/TREASURERS COMMITTEE NO. 28-89 RE: SEC STAFF CONSIDERS REQUIRING FUND DISCLOSURE ABOUT MEETING INVESTMENT OBJECTIVES __________________________________________________________ Several weeks...

August 2, 1989 TO: BOARD OF GOVERNORS NO. 45-89 SEC RULES COMMITTEE NO. 46-89 UNIT INVESTMENT TRUST COMMITTEE NO. 46-89 RE: BANC ONE WITHDRAWS APPLICATION TO BROKER SHARES OF AFFILIATED INVESTMENT COMPANIES __________________________________________________________ As we previously...

August 1, 1989 TO: SEC RULES COMMITTEE NO. 45-89 UNIT INVESTMENT TRUST COMMITTEE NO. 43-89 CLOSED-END FUND COMMITTEE NO. 31-89 INVESTMENT ADVISERS COMMITTEE NO. 30-89 RE: BILL ON TAKEOVER REFORM/PROXY VOTING INTRODUCED __________________________________________________________ S. 1244...

August 1, 1989 TO: SEC RULES COMMITTEE NO. 44-89 UNIT INVESTMENT TRUST COMMITTEE NO. 42-89 ADVERTISING SUBCOMMITTEE RE: PROCEDURES ADOPTED UNDER AMENDED NASD SUPERVISORY RULES __________________________________________________________ Set forth below is a list of practices and...

July 31, 1989 TO: SEC RULES COMMITTEE NO. 43-89 CLOSED-END FUND COMMITTEE NO. 30-89 UNIT INVESTMENT TRUST COMMITTEE NO. 40-89 INTERNATIONAL FUNDS TASK FORCE NO. 8-89 RE: SEC PROPOSES RULE TO ALLOW PURCHASES BY REGISTERED INVESTMENT COMPANIES OF SECURITIES OF FOREIGN BANKS AND FOREIGN...

July 24, 1989 TO: BOARD OF GOVERNORS NO. 42-89 CLOSED-END FUND COMMITTEE NO. 28-89 SEC RULES COMMITTEE NO. 42-89 UNIT INVESTMENT TRUST COMMITTEE NO. 37-89 RE: INSTITUTE COMMENT LETTER ON FED PROPOSAL TO PERMIT BANK HOLDING COMPANIES TO UNDERWRITE AFFILIATE SECURITIES _________________...

July 21, 1989 TO: SEC RULES COMMITTEE NO. 41-89 CLOSED-END FUND COMMITTEE NO. 27-89 UNIT INVESTMENT TRUST COMMITTEE NO. 36-89 ADVERTISING SUBCOMMITTEE RE: RISK DISCLOSURE ON HIGH-YIELD BONDS __________________________________________________________ The recent release issued by the...

July 17, 1989 TO: SEC RULES COMMITTEE NO. 39-89 INTERNATIONAL FUNDS TASK FORCE NO. 5-89 INVESTMENT ADVISERS COMMITTEE NO. 27-89 UNIT INVESTMENT TRUST COMMITTEE NO. 35-89 RE: PROPOSED RULE 144A __________________________________________________________ Attached is the SEC release...

July 17, 1989 TO: SEC RULES COMMITTEE NO. 40-89 INTERNATIONAL FUNDS TASK FORCE NO. 6-89 RE: MEETING TO DISCUSS COMMENTS ON REPROPOSED RULE 144A AND REGULATION S __________________________________________________________ The Commission recently reproposed Rule 144A and Regulation S....