SEC Rules Content

June 16, 1989 TO: OPERATIONS COMMITTEE NO. 10-89 SEC RULES COMMITTEE NO. 28-89 BROKER/DEALER ADVISORY COMMITTEE NO. 27-89 TRANSFER AGENT SHAREHOLDER ACCOUNTING ADV. COMMITTEE NO. 12-89 RE: SEC APPROVES NASD PROPOSAL OF NEW REGISTRATION CATEGORY -- ADOPTING RELEASE CLARIFIES THAT...

June 14, 1989 TO: BOARD OF GOVERNORS NO. 36-89 STATE SECURITIES MEMBERS NO. 22-89 SEC RULES COMMITTEE NO. 27-89 AD HOC RULE 12b-1 COMMITTEE RE: TESTIMONY IN CALIFORNIA CONCERNING CDSLs __________________________________________________________ The Institute was recently invited to...

June 8, 1989 TO: TAX COMMITTEE NO. 9-89 SEC RULES COMMITTEE NO. 26-89 RE: RETURN OF CAPITAL __________________________________________________________ Several tax and securities issues have arisen recently regarding investment companies making return of capital payments to...

May 17, 1989 TO: SEC RULES COMMITTEE NO. 25-89 CLOSED-END FUND COMMITTEE NO. 16-89 INVESTMENT ADVISERS COMMITTEE NO. 22-89 UNIT INVESTMENT TRUST COMMITTEE NO. 22-89 RE: INSTITUTE COMMENT LETTER ON PROPOSED RULE CHANGES UNDER SECTION 13(D) OF THE SECURITIES EXCHANGE ACT _______________...

May 9, 1989 TO: SEC RULES COMMITTEE NO. 24-89 STATE LIAISON COMMITTEE NO. 6-89 RE: Proposed Illinois Broker-Dealer Legislation __________________________________________________________ Attached is a copy of a bill that has been introduced in the Illinois House of Representatives. The...

May 8, 1989 TO: SEC RULES COMMITTEE NO. 23-89 CLOSED-END FUND COMMITTEE NO. 14-89 RE: INSTITUTE COMMENT LETTER CONCERNING PROPOSED RULE 32a-3 __________________________________________________________ As you know, the SEC proposed in March 1989 a new rule 32a- 3, which would expand...

April 17, 1989 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 18-89 OPERATIONS MEMBERS NO. 14-89 SEC RULES COMMITTEE NO. 22-89 STATE LIAISON COMMITTEE NO. 4-89 TAX MEMBERS NO. 13-89 MEMBERS - ONE PER COMPLEX NO. 10-89 RE: Training Conference Videotapes _______________________________________...

April 14, 1989 TO: ACCOUNTING/TREASURERS COMMITTEE NO. 17-89 CLOSED-END FUND COMMITTEE NO. 10-89 SEC RULES COMMITTEE NO. 21-89 UNIT INVESTMENT TRUST COMMITTEE NO. 17-89 RE: SEC PROPOSAL TO CONFORM CERTAIN RULES AND FORMS TO RECENTLY ADOPTED FASB STANDARDS _____________________________...

April 5, 1989 TO: SEC RULES COMMITTEE NO. 20-89 RE: SEC RULES COMMITTEE MEETING AGENDA __________________________________________________________ Attached is the tentative agenda for the SEC Rules Committee meeting on Wednesday, April 12 at 10:00 a.m. at the Vista Hotel. We look...

April 4, 1989 TO: CLOSED-END FUND COMMITTEE NO. 8-89 SEC RULES COMMITTEE NO. 19-89 ACCOUNTING/TREASURERS COMMITTEE NO. 14-89 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: SEC ADOPTS INVESTMENT COMPANY ACT RULE 30b1-3 SPECIFYING FORM N-SAR FILING REQUIREMENTS FOR FUNDS THAT CHANGE THEIR...