Securities and Exchange Commission

4,841 documents, newest first — showing 4,601–4,800.

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• 1995-11-17Adoption of Updated EDGAR Filer Manual and Technical Rule Amendments
• 1995-11-14SEC Division of Investment Management staff letter: InTouch Global, LLC
• 1995-11-08SEC Division of Investment Management staff letter: The Riverfront Funds, Inc.
• 1995-11-07SEC Division of Investment Management staff letter: Mutual Series Fund Inc.
• 1995-11-02SEC Division of Investment Management staff letter: Accounting Comment Letter
• 1995-10-26Ownership Reports and Trading by Officers, Directors and Principal Security Holders; Correction
• 1995-10-20SEC Division of Investment Management staff letter: Colonial Trust I et al.
• 1995-10-19SEC Division of Investment Management staff letter: David Parkinson
• 1995-10-17SEC Division of Investment Management staff letter: DFA Investment Trust Company
• 1995-10-17Proposed Rule on Ownership Reports and Trading by Officers, Directors and Principal Security Holders
• 1995-10-17SEC Division of Investment Management staff letter: Missouri Innovation Center, Inc.
• 1995-10-13Use of Electronic Media for Delivery Purposes
• 1995-10-13Use of Electronic Media for Delivery Purposes
• 1995-10-12Custody of Investment Company Assets Outside the United States—Extension of Comment Period
• 1995-10-10Order Execution Obligations
• 1995-09-28Commission Records and Information; Incorporation by Reference
• 1995-09-28SEC Division of Investment Management staff letter: MassMutual Institutional Funds
• 1995-09-26SEC Division of Investment Management staff letter: Queensland Treasury Corporation
• 1995-09-26SEC Division of Investment Management staff letter: Thomson Advisory Group L.P.
• 1995-09-26SEC Division of Trading and Markets no-action letter: Hang Seng Index Options
• 1995-09-18Exemption of the Securities of the United Mexican States Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
• 1995-09-14Personal Investment Activities of Investment Company Personnel and Codes of Ethics of Investment Companies and Their Investment Advisers and Principal Underwriters
• 1995-09-14Confidential Treatment Rules
• 1995-09-11Registration Fees for Certain Investment Companies
• 1995-09-07Rules of Practice; Technical Amendments and Corrections
• 1995-09-06SEC Division of Investment Management staff letter: First Call Corporation
• 1995-09-05SEC Division of Investment Management staff letter: SMC Capital, Inc.
• 1995-08-11Extension of Phase-In Period for Compliance with New Rule 16b-3 Regarding Employee Benefit Plan Transactions
• 1995-08-08SEC Division of Investment Management staff letter: Norwest Funds - Municipal Money Market Fund
• 1995-08-08SEC Division of Investment Management staff letter: Mark A. Bush
• 1995-08-07SEC Division of Investment Management staff letter: Alfred A. Zurl
• 1995-08-02Status of Investment Advisory Programs Under the Investment Company Act of 1940
• 1995-08-02Custody of Investment Company Assets Outside the United States
• 1995-08-02SEC Division of Investment Management staff letter: Fiduciary Trust Global Fund
• 1995-07-31SEC Division of Investment Management staff letter: The T. Rowe Price Funds
• 1995-07-28Payment for Investment Company Services With Brokerage Commissions
• 1995-07-26Proposed Amendments to Money Market Fund Prospectus Disclosure Requirements
• 1995-07-26Money Market Fund Quarterly Reporting
• 1995-07-18SEC Division of Investment Management staff letter: George Colman
• 1995-07-17SEC Division of Investment Management staff letter: Gilbert G. Beezley
• 1995-07-14SEC Division of Investment Management staff letter: Alliance Municipal Trust
• 1995-07-14SEC Division of Investment Management staff letter: ACM Institutional Reserves, Inc.
• 1995-07-12SEC Division of Investment Management staff letter: Municipal Fund for California Investors, Inc.
• 1995-07-11SEC Division of Investment Management staff letter: California Municipal Cash Trust
• 1995-07-10Revision of Holding Period Requirements in Rule 144; Section 16(a) Reporting of Equity Swaps and Other Derivative Securities
• 1995-07-10Relief From Reporting by Small Issuers
• 1995-07-10Streamlining Disclosure Requirements Relating to Significant Business Acquisitions and Requiring Quarterly Reporting of Unregistered Equity Sales
• 1995-07-10Use of Abbreviated Financial Statements in Documents Delivered to Investors Pursuant to the Securities Act of 1933 and Securities Exchange Act of 1934
• 1995-07-10Streamlining and Consolidation of Executive and Director Compensation Disclosure
• 1995-07-10Exemption for Certain California Limited Issues
• 1995-07-10Problematic Practices Under Regulation S
• 1995-07-10Solicitations of Interest Prior to an Initial Public Offering
• 1995-07-07SEC Division of Investment Management staff letter: Lehman Brothers Daily Income Fund
• 1995-07-07SEC Division of Investment Management staff letter: Twentieth Century Mutual Funds
• 1995-07-07SEC Division of Investment Management staff letter: Wells Fargo Money Market Funds
• 1995-06-30SEC Division of Investment Management staff letter: Benham California Tax-Free and Municipal Funds
• 1995-06-28Improving Descriptions of Risk by Mutual Funds and Other Investment Companies—Extension of Comment Period
• 1995-06-28Exemption of Acquisition By Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Businesses; Exemption of Capital Contributions and Advances to Such Companies
• 1995-06-28Exemption of Issuance and Sale of Securities By Public-Utility and Nonutility Subsidiary Companies of Registered Public-Utility Holding Companies
• 1995-06-28Exemption of Issuance and Sale of Certain Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Exemption of Acquisition by Companies in a Registered Public Utility Holding Company System of Certain Securities of Associate Companies; Exemption of Capital Contributions and Open Account Advances, Without Interest, by Parent Companies to Subsidiary Companies
• 1995-06-20SEC Division of Investment Management staff letter: American Council of Life Insurance
• 1995-06-14SEC Division of Investment Management staff letter: Benson White & Company
• 1995-06-02Recordkeeping and Reporting Requirements for Trading Systems Operated by Brokers and Dealers; Delegation of Authority
• 1995-06-01SEC Division of Investment Management staff letter: James R. Waters
• 1995-05-26SEC Division of Investment Management staff letter: Investment Company Institute
• 1995-05-25SEC Division of Investment Management staff letter: Norwest Bank Minnesota, N.A. and Society National Bank
• 1995-05-25Adoption of Updated EDGAR Filer Manual
• 1995-05-23SEC Division of Investment Management staff letter: The One Group
• 1995-05-17Prospectus Delivery; Securities Transactions Settlement
• 1995-05-09SEC Division of Investment Management staff letter: Unit Investment Trust Organizational Expenses
• 1995-04-28Unlisted Trading Privileges
• 1995-04-27SEC Division of Investment Management staff letter: Goldman Sachs & Co.
• 1995-04-26SEC Division of Investment Management staff letter: Metropolitan Life Insurance Company
• 1995-04-25SEC Division of Investment Management staff letter: Salomon Brothers Inc
• 1995-04-24SEC Division of Investment Management staff letter: The Victory Funds and The Victory Portfolios
• 1995-04-24Staff Accounting Bulletin No. 94
• 1995-04-18SEC Division of Investment Management staff letter: Templeton Russia Fund, Inc.
• 1995-04-06SEC Division of Investment Management staff letter: Citicorp Securities
• 1995-04-04Improving Descriptions of Risk by Mutual Funds and Other Investment Companies
• 1995-03-17Payment for Order Flow, Confirmation of Transactions: Postponement of Effective Date
• 1995-03-02Exemption for Certain Open-End Management Investment Companies To Impose Contingent Deferred Sales Loads
• 1995-03-02Exemption for Open-End Management Investment Companies Issuing Multiple Classes of Shares; Disclosure by Multiple Class and Master-Feeder Funds; Class Voting on Distribution Plans
• 1995-02-28SEC Division of Investment Management staff letter: State Street Bank & Trust Company
• 1995-02-27Prospectus Delivery; Securities Transactions Settlement
• 1995-02-21Disclosure by Investment Advisers Regarding Soft Dollar Practices
• 1995-02-14SEC Division of Investment Management staff letter: Philadelphia Ventures Liberty Fund, L.P.
• 1995-02-09Unlisted Trading Privileges
• 1995-02-07Registration Fees for Certain Investment Companies
• 1995-02-07SEC Division of Investment Management staff letter: Victory Stock Index Fund
• 1995-02-06SEC Division of Investment Management staff letter: Kemper Total Return Fund
• 1995-02-06Adoption of Amendments To Clarify Safe Harbors for Broker-Dealer Research Reports
• 1995-02-03SEC Division of Investment Management staff letter: Letter to Investment Company Registrants
• 1995-02-03SEC Division of Investment Management staff letter: Chief Financial Officer of Investment Company Registrants
• 1995-02-02SEC Division of Investment Management staff letter: ESI S.A.
• 1995-01-27SEC Division of Investment Management staff letter: United Municipal Bond Fund
• 1995-01-24SEC Division of Investment Management staff letter: The Royce Fund
• 1995-01-23SEC Division of Investment Management staff letter: United Missouri Bank of Kansas City
• 1995-01-13Rulemaking for EDGAR System; Correction
• 1995-01-03Securities and Exchange Commission Delegation of Authority
• 1994-12-30Global Exempt Certificates of Ownership in NHA MBS Securities Inc.
• 1994-12-28SEC Division of Investment Management staff letter: Latham & Watkins
• 1994-12-28SEC Division of Investment Management staff letter: Caxton Corporation
• 1994-11-14SEC Division of Investment Management staff letter: Shoreline Fund, L.P.
• 1994-11-07SEC Division of Investment Management staff letter: Transamerica Series, Inc.
• 1994-11-01SEC Division of Investment Management staff letter: Linsco/Private Ledger Corp.
• 1994-11-01SEC Division of Investment Management staff letter: Wm. S. Barnickel & Company
• 1994-11-01SEC Division of Investment Management staff letter: Chief Financial Officer
• 1994-10-25SEC Letter to Investment Advisers on T+3 Settlement Cycle
• 1994-10-20SEC Division of Investment Management staff letter: Warsaw Stock Exchange
• 1994-10-18SEC Division of Investment Management staff letter: Philadelphia Stock Exchange, Inc.
• 1994-10-12SEC Division of Investment Management staff letter: Dana Investment Advisors, Inc.
• 1994-10-07SEC Division of Investment Management staff letter: Murray Johnstone Holdings Limited; Murray Johnstone Limited; Murray Johnstone International Limited
• 1994-09-26SEC Division of Investment Management staff letter: Mutual Funds and Derivative Instruments
• 1994-09-26SEC Division of Investment Management Memorandum on Mutual Funds and Derivative Instruments
• 1994-09-21SEC Division of Investment Management staff letter: Townsend and Associates, Inc.
• 1994-09-15SEC Division of Investment Management staff letter: Pershing Division of Donaldson, Lufkin & Jenrette Securities Corp.
• 1994-08-10SEC Division of Investment Management staff letter: W.R. Huff Asset Management Co., L.P.
• 1994-08-10SEC Division of Investment Management staff letter: Glenwood Investment Corp.
• 1994-08-05SEC Division of Investment Management staff letter: Integrated Resources, Inc.
• 1994-08-05SEC Division of Investment Management staff letter: North American Security Trust
• 1994-08-04SEC Division of Investment Management staff letter: PaineWebber Managed Investments Trust
• 1994-08-04SEC Division of Investment Management staff letter: The Canadian Depository for Securities Limited
• 1994-07-28SEC Division of Investment Management staff letter: First Coastal Corporation
• 1994-07-28SEC Division of Investment Management staff letter: Stephen R. Kelly
• 1994-07-20SEC Division of Investment Management staff letter: Adam W. Glass
• 1994-07-08SEC Division of Investment Management staff letter: Arthur Andersen & Co.
• 1994-07-01SEC Division of Investment Management staff letter: J.P. Morgan Structured Obligations Corporation
• 1994-06-30SEC Division of Investment Management staff letter: Edward H. Fleischman
• 1994-06-24SEC Division of Investment Management staff letter: Owens-Illinois, Inc.
• 1994-06-16SEC Division of Investment Management staff letter: Louis Russo
• 1994-06-09SEC Division of Investment Management staff letter: CBA Money Fund, et al.
• 1994-06-03SEC Division of Trading and Markets no-action letter: Intermarket Surveillance Group
• 1994-05-26SEC Division of Investment Management staff letter: Donaldson, Lufkin & Jenrette Securities Corporation
• 1994-05-25SEC Division of Corporation Finance no-action letter regarding Kake Tribal Corporation settlement trust
• 1994-05-13SEC Division of Investment Management staff letter: R. Bryan Stoker
• 1994-05-04SEC Division of Investment Management staff letter: Century Shares Trust
• 1994-04-28SEC Division of Investment Management staff letter: Long-Term Capital Management, L.P.
• 1994-04-28SEC Division of Investment Management staff letter: Municipality Finance Ltd.
• 1994-04-21SEC Division of Investment Management staff letter: Federated Investors
• 1994-04-19SEC Division of Investment Management staff letter: PanAgora Group Trust
• 1994-04-11SEC Division of Investment Management staff letter: Shoreline Fund, L.P.
• 1994-04-05SEC Division of Investment Management staff letter: Andrews & Kurth L.L.P.
• 1994-03-23SEC Division of Investment Management staff letter: Scudder Investment Trust
• 1994-03-10SEC Division of Investment Management staff letter: MPC Liquidating Trust
• 1994-03-08SEC Division of Investment Management staff letter: Lehman Brothers Inc.
• 1994-02-28SEC Division of Investment Management staff letter: ICI Mutual Insurance Company
• 1994-02-24SEC Division of Investment Management staff letter: Brown & Wood
• 1994-02-24SEC Division of Investment Management staff letter: The Capitol Mutual Funds and Nations Fund Trust
• 1994-02-01SEC Division of Investment Management staff letter: Gerald Zuckerman
• 1994-01-27SEC Division of Investment Management staff letter: David S. Butterworth
• 1993-12-20SEC no-action letter: NASD OTC Bulletin Board Display Service exemption from Rule 15c2-11
• 1993-11-29Executive Compensation Disclosure; Securityholder Lists and Mailing Requests (Final Rule Release 33-7032)
• 1993-11-24SEC Division of Trading and Markets no-action letter: Chubb Securities Corporation
• 1993-09-20SEC Division of Trading and Markets no-action letter: Securities Industry Association
• 1993-09-03SEC Division of Investment Management staff letter: Travelers Insurance Company et al.
• 1993-09-02SEC Division of Investment Management staff letter: The South America Fund N.V.
• 1993-08-31SEC Division of Investment Management staff letter: Japan Securities Depository Center
• 1993-08-30SEC Division of Investment Management staff letter: Frank Russell Investment Management Company
• 1993-08-26SEC Division of Investment Management staff letter: Stock Exchange of Thailand
• 1993-08-26SEC Division of Investment Management staff letter: Alameda Contra Costa Medical Association Collective Investment Trust for Retirement Plans
• 1993-07-29SEC Division of Investment Management staff letter: New America High Income Fund, Inc.
• 1993-07-22SEC Division of Investment Management staff letter: College Retirement Equities Fund Real Estate Account
• 1993-07-19SEC Division of Investment Management staff letter: PaineWebber Equity Trusts
• 1993-06-24SEC Division of Investment Management staff letter: T. Rowe Price Tax-Free Funds
• 1993-06-18SEC Division of Investment Management staff letter: Welsh, Carson, Anderson & Stowe
• 1993-06-17SEC Division of Investment Management staff letter: Mutual of America Life Insurance Company
• 1993-06-16SEC Division of Investment Management staff letter: Investment Company Institute
• 1993-06-15SEC Division of Investment Management staff letter: Investment Company Institute
• 1993-06-08SEC Division of Investment Management staff letter: Shearson Lehman Brothers Inc. and Smith Barney, Harris Upham & Co. Incorporated
• 1993-06-02SEC Division of Investment Management staff letter: Keene Corporation
• 1993-05-24SEC Division of Investment Management staff letter: Reserve Bank of New Zealand
• 1993-05-19SEC Division of Investment Management staff letter: Malaysian Central Depository Sdn. Bhd.
• 1993-05-17SEC Division of Investment Management staff letter: Sedgwick Consulting Group
• 1993-05-14SEC Division of Investment Management staff letter: Kidder Peabody Investment Trust
• 1993-05-14SEC Division of Investment Management staff letter: Korea Securities Depository Corporation
• 1993-05-14SEC Division of Investment Management staff letter: Washington Mutual Investors Fund, Inc.
• 1993-05-05SEC Division of Investment Management staff letter: Defined Asset Funds - Equity Income Fund - Select Ten Series
• 1993-04-26SEC Division of Investment Management staff letter: Custody of B Shares Trading on the Shenzhen and Shanghai Securities Exchanges
• 1993-04-23SEC Division of Investment Management staff letter: United Services Funds
• 1993-04-12SEC Division of Investment Management staff letter: Mercury Asset Management plc
• 1993-04-07SEC Division of Investment Management staff letter: Alliance Capital Management L.P.
• 1993-04-06SEC Division of Investment Management staff letter: Austraclear Limited
• 1993-04-02SEC Division of Investment Management staff letter: PNC Fund, et al.
• 1993-04-01SEC Division of Investment Management staff letter: Richard L. Mertz
• 1993-03-15SEC Division of Investment Management staff letter: Datastream International Inc
• 1993-03-09SEC Division of Investment Management staff letter: Oppenheimer Landmrk Properties
• 1993-02-19SEC Division of Investment Management staff letter: Celina Financial Corporation
• 1993-02-08SEC Division of Investment Management staff letter: Dean Witter, Discover & Co.
• 1993-02-02SEC Division of Investment Management staff letter: North American Security Trust and NASL Series Trust
• 1993-01-28SEC Division of Investment Management staff letter: Thomson Fund Group, et al.
• 1993-01-27SEC Division of Investment Management staff letter: County of Los Angeles
• 1993-01-22SEC Division of Investment Management staff letter: Pasadena Investment Trust
• 1993-01-12SEC Division of Investment Management staff letter: Robertson, Stephens & Company
• 1993-01-07SEC Division of Investment Management staff letter: Calvert Group
• 1993-01-05SEC Division of Investment Management staff letter: Michael Tannenbaum
• 1992-11-02SEC Division of Investment Management staff letter: Investment Company Institute
• 1992-09-22SEC Division of Investment Management staff letter: Missouri Family Trust Fund
• 1992-08-04SEC Division of Investment Management staff letter: Founders Funds, Inc.
• 1992-07-28SEC Division of Investment Management staff letter: Uniao de Bancos de Brasileiros S.A.
• 1992-07-24SEC Division of Investment Management staff letter: Morgan Keegan & Company, Inc.