SEC Rules Content

April 3, 1989 TO: BOARD OF GOVERNORS NO. 20-89 SEC RULES COMMITTEE NO. 18-89 RE: INSTITUTE SUGGESTIONS TO SEC STAFF REGARDING PENDING REGULATORY MATTERS __________________________________________________________ As you know, the Institute regularly requests SEC staff action regarding...

March 21, 1989 TO: SEC RULES COMMITTEE NO. 17-89 CLOSED-END FUND COMMITTEE NO. 6-89 INVESTMENT ADVISERS COMMITTEE NO. 14-89 RE: SEC PROPOSES RULE CHANGES CONCERNING DISCLOSURE OF OWNERSHIP IN PUBLIC COMPANIES __________________________________________________________ The SEC has...

March 16, 1989 TO: SEC RULES COMMITTEE NO. 16-89 RE: NOTICE OF SEC RULES COMMITTEE MEETING, APRIL 12, 1989 __________________________________________________________ A meeting of the SEC Rules Committee has been scheduled for 10:00 a.m. on Wednesday, April 12, 1989. This meeting will...

- 1 - March 6, 1989 TO: SEC RULES COMMITTEE NO. 15-89 CLOSED-END FUND COMMITTEE NO. 4-89 RE: SEC PROPOSES RULE EXPANDING TIME PERIOD FOR SELECTION OF ACCOUNTANTS UNDER SECTION 32(a)(1) __________________________________________________________ Section 32(a)(1) of the Investment...

March 1, 1989 TO: SEC RULES COMMITTEE NO. 14-89 OPTIONS AND FUTURES TASK FORCE NO. 2-89 RE: COMMODITY POOL OPERATORS __________________________________________________________ Attached are copies of releases published by the SEC and CFTC concerning performance disclosure by commodity...

February 10, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 11-89 SEC RULES COMMITTEE NO. 13-89 UNIT INVESTMENT TRUST COMMITTEE NO. 7-89 RULE 144A SUBCOMMITTEE RE: ICI FILES COMMENT LETTER ON PROPOSED RULE 144A __________________________________________________________ The Institute has...

February 6, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 7-89 SEC RULES COMMITTEE NO. 11-89 UNIT INVESTMENT TRUST COMMITTEE NO. 6-89 RE: NASD PROPOSAL TO RESTRICT PAYMENT OF REFERRAL FEES __________________________________________________________ As we previously informed you, the NASD...

February 6, 1989 TO: CLOSED-END FUND COMMITTEE NO. 3-89 SEC RULES COMMITTEE NO. 10-89 UNIT INVESTMENT TRUST COMMITTEE NO. 5-89 ACCOUNTING/TREASURERS COMMITTEE NO. 9-89 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: FASB AGREES ON LANGUAGE OF FINAL STATEMENT AMENDING SFAS NO. 95 __________...

February 6, 1989 TO: SEC RULES COMMITTEE NO. 12-89 RE: SEC PROPOSES CHANGES TO THE OWNERSHIP REPORTING REQUIREMENTS UNDER SECTION 16 OF THE SECURITIES EXCHANGE ACT OF 1934 __________________________________________________________ Section 16(a) of the Securities Exchange Act of 1934...

January 31, 1989 TO: UNIT INVESTMENT TRUST MEMBERS NO. 11-89 SEC RULES COMMITTEE NO. 9-89 RE: YIELD QUOTATION ON MARKET DISCOUNT MUNICIPAL BONDS __________________________________________________________ As we previously informed you, the Institute has filed a letter with the SEC...