May 26, 1995
TO: CLOSED-END FUND COMMITTEE No. 26-95
INVESTMENT ADVISERS COMMITTEE No. 26-95
SEC RULES COMMITTEE No. 67-95
UNIT INVESTMENT TRUST COMMITTEE No. 47-95
RE: SEC SEMI-ANNUAL REGULATORY AGENDA
______________________________________________________________________________
The SEC recently published its semi-annual agenda of rulemaking actions. A copy is attached
for your information. Division of Investment Management items are listed on attached Federal Register
pages 24403-04 and are summarized on pages 24413-21. The agenda was compiled on February 22,
1995. The deadline for comments on the agenda is June 30, 1995.
The following items relating to investment companies have been added to the agenda since it
was last updated:
Prerule Stage:
` Investment Company Risk Disclosure. (p. 24411)
` Mergers of Certain Affiliated Investment Companies. (p. 24411)
Proposed Rule Stage:
` Disclosure by Investment Advisers Regarding Soft Dollar Practices. (p. 24412)
` Requirements Relating to Codes of Ethics With Respect to Registered Investment Companies. (p.
24414)
` Deregistration Form Amendments. (p. 24415)
Alexander C. Gavis
Assistant Counsel
Attachment