SEC Rules Content

January 24, 1989 TO: CLOSED-END FUND COMMITTEE NO. 2-89 SEC RULES COMMITTEE NO. 7-89 UNIT INVESTMENT TRUST COMMITTEE NO. 3-89 ACCOUNTING/TREASURERS COMMITTEE NO. 7-89 INDEPENDENT ACCOUNTANTS ADVISORY GROUP RE: FASB MOVES TOWARD ISSUANCE OF FINAL STATEMENT AMENDING SFAS NO. 95; SEC...

January 24, 1989 TO: SEC RULES COMMITTEE NO. 6-89 SEC RULES COMMITTEE SUBCOMMITTEE ON ADVERTISING RE: FEBRUARY SUBCOMMITTEE MEETING -- CHANGE IN MEETING DATE __________________________________________________________ The date of the February meeting of the SEC Rules Committee...

January 24, 1989 TO: SEC RULES COMMITTEE NO. 8-89 INVESTMENT ADVISERS COMMITTEE NO. 3-89 RULE 144A SUBCOMMITTEE RE: DRAFT COMMENT LETTER ON RULE 144A __________________________________________________________ Attached for your review is a draft comment letter developed as a result of...

January 19, 1989 TO: BOARD OF GOVERNORS NO. 5-89 CLOSED-END FUND COMMITTEE NO. 1-89 SEC RULES COMMITTEE NO. 5-89 UNIT INVESTMENT TRUST COMMITTEE NO. 2-89 RE: FED APPLICATIONS TO UNDERWRITE AND DEAL IN DEBT AND EQUITY SECURITIES _________________________________________________________...

@ 1 @ January 18, 1989 TO: UNIT INVESTMENT TRUST MEMBERS NO. 7-89 SEC RULES COMMITTEE NO. 4-89 AD HOC SUBCOMMITTEE ON YIELD RE: YIELD QUOTATIONS ON MARKET DISCOUNT MUNICIPAL BONDS __________________________________________________________ Attached is a letter from the Institute...

January 17, 1989 TO: SEC RULES COMMITTEE NO. 3-89 SEC RULES COMMITTEE SUBCOMMITTEE ON ADVERTISING RE: FEBRUARY 23 SUBCOMMITTEE MEETING __________________________________________________________ At the January 10 meeting of the SEC Rules Committee, members of the Committee requested...

January 9, 1989 TO: SEC RULES COMMITTEE NO. 2-89 RE: NASD PROPOSAL TO RESTRICT PAYMENT OF REFERRAL FEES __________________________________________________________ Attached is an NASD notice to members concerning a proposed rule that would restrict payment of fees to unregistered...

January 5, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 2-89 SEC RULES COMMITTEE NO. 1-89 BROKER/DEALER ADVISORY COMMITTEE NO. 1-89 RE: ICI COMMENTS ON NASD PROPOSAL ON CUSTOMER ACCOUNT INFORMATION __________________________________________________________ Attached is an Institute...