February 28, 1996
TO: CLOSED-END FUND COMMITTEE No. 4-96
RE: ELECTRONIC FILING OF FORMS 3, 4, 5 AND 144 ON EDGAR
______________________________________________________________________________
The Securities and Exchange Commission recently announced that it has modified the EDGAR
filing system to allow for the electronic filing of securities ownership and transaction reports filed
pursuant to Section 16(a) of the Securities Exchange Act of 1934 (Forms 3, 4 and 5) and of notifications
of proposed sale of securities under Rule 144 under the Securities Act of 1933 (Form 144). A copy of
the SECs notice providing guidance on the electronic filing of these documents is attached.
The notice indicates that each person filing Forms 3, 4, 5 and 144 electronically must have his or
her own set of EDGAR access codes, which are obtained by filing a Form ID with the SEC. In addition,
the notice states that registrants may assist persons with their filing obligations by assuming the
responsibility (in an agent capacity) to submit Forms 3, 4, 5 or 144 on their behalf. Forms ID are
available in the EDGAR Filing Manual and may also be obtained from the Commission s publications
unit by calling 202/942-4046 and asking for Form ID (SEC 2084). Questions about the procedures
outlined in the notice should be directed to EDGAR Filer Support at 202/942-8900.
Alexander C. Gavis
Assistant Counsel
Attachment