SEC Rules Content

July 17, 1989 TO: SEC RULES COMMITTEE NO. 38-89 INTERNATIONAL FUNDS TASK FORCE NO. 4-89 CLOSED-END FUND COMMITTEE NO. 26-89 UNIT INVESTMENT TRUST COMMITTEE NO. 34-89 RE: REPROPOSED REGULATION S __________________________________________________________ The SEC has reproposed in the...

July 17, 1989 TO: SEC RULES COMMITTEE NO. 37-89 INTERNATIONAL FUNDS TASK FORCE NO. 3-89 CLOSED-END FUND COMMITTEE NO. 25-89 BROKER/DEALER ADVISORY COMMITTEE NO. 32-89 RE: ADOPTION OF RULE 15a-6 AND PROPOSAL OF CONCEPT RELEASE __________________________________________________________...

July 14, 1989 TO: STATE LIAISON COMMITTEE NO. 10-89 SEC RULES COMMITTEE NO. 36-89 RE: NASAA REGULATED INDUSTRIES COMMITTEE PROPOSAL REGARDING LATE RENEWAL __________________________________________________________ The Regulated Industries Committee of the North American Securities...

-1- July 7, 1989 TO: SEC RULES COMMITTEE NO. 35-89 UNIT INVESTMENT TRUST COMMITTEE NO. 33-89 CLOSED-END FUND COMMITTEE NO. 24-89 BROKER/DEALER ADVISORY COMMITTEE NO. 31-89 RE: NASD REPROPOSES AMENDMENTS CONCERNING CASH AND NON-CASH CONCESSIONS IN CONNECTION WITH THE RETAIL SALE OF...

July 6, 1989 TO: BOARD OF GOVERNORS NO. 40-89 SEC RULES COMMITTEE NO. 34-89 UNIT INVESTMENT TRUST COMMITTEE NO. 31-89 RE: INSTITUTE COMMENT LETTER TO FEDERAL RESERVE BOARD ON BANC ONE MUTUAL FUND APPLICATION __________________________________________________________ The Institute has...

July 5, 1989 TO: SEC RULES COMMITTEE NO. 33-89 UNIT INVESTMENT TRUST COMMITTEE NO. 30-89 ADVERTISING SUBCOMMITTEE RE: ADVERTISING SUBCOMMITTEE MEETING - NASD SUPERVISORY PROCEDURES __________________________________________________________ On August 8, 1989 there will be a meeting of...

June 29, 1989 TO: BOARD OF GOVERNORS NO. 38-89 CLOSED-END FUND COMMITTEE NO. 22-89 SEC RULES COMMITTEE NO. 32-89 UNIT INVESTMENT TRUST COMMITTEE NO. 29-89 RE: FED PROPOSES TO PERMIT BANK HOLDING COMPANIES TO UNDERWRITE ASSET-BACKED SECURITIES OF AFFILIATES ____________________________...

June 23, 1989 TO: SEC RULES COMMITTEE NO. 31-89 UNIT INVESTMENT TRUST COMMITTEE NO. 28-89 CLOSED-END FUND COMMITTEE NO. 21-89 BROKER/DEALER ADVISORY COMMITTEE NO. 29-89 MARKETING COMMITTEE NO. 19-89 RE: LEGAL INVESTMENT LAWS SURVEY _____________________________________________________...

June 22, 1989 TO: CLOSED-END FUND COMMITTEE NO. 19-89 SEC RULES COMMITTEE NO. 30-89 RE: ISSUES CONCERNING CLOSED-END FUND TENDER OFFERS __________________________________________________________ Several closed-end funds have conducted or have disclosed in their prospectuses their...

June 21, 1989 TO: SEC RULES COMMITTEE NO. 29-89 INTERNATIONAL FUNDS TASK FORCE NO. 2-89 RE: NO-ACTION LETTER PERMITTING A DUTCH DEPOSITORY AND CASHIER INSTITUTION TO ACT AS AN "ELIGIBLE FOREIGN CUSTODIAN" __________________________________________________________ Attached is a no...