Closed-End Investment Company Content

July 23, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-97 RE: AUGUST 8TH MEETING WITH NYSE ______________________________________________________________________________ We will be meeting with Richard Grasso, Chairman of the New York Stock Exchange, on August 8, 1997 to...

* The NYSE interprets Rule 452 to allow member organizations to vote investment company shares held in nominee name without customer instructions on the initial approval of an investment advisory agreement. See Memorandum to Board of Governors No. 38-92, SEC Rules Members No. 20-92...

1 See Institute Memorandum to Tax Members No. 19-97, Accounting/Treasurers Members No. 20-97, International Committee No. 20-97, Operations Committee No. 16-97, Transfer Agent Advisory Committee No. 25-97, Closed-End Investment Company Committee No. 23-97 and Unit Investment Trust...

1 The attachments to this memorandum are explanations prepared by Congress’ Joint Committee on Taxation. The actual statutory language for the bill was not available when this memorandum was distributed. 2 The relevant pension-related provisions in the bill are summarized in Institute...

1 See Institute Memorandum to Pension Members No. 23-97, Tax Members No. 20-97, Operations Committee No. 17-97, Transfer Agent Advisory Committee No. 26-97 and Pension Operations Advisory Committee No. 17-97, dated June 13, 1997. 2 See Institute Memorandum to Accounting/Treasurers...

June 9, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 22-97 RE: FINANCIAL PRESS PERSONNEL ______________________________________________________________________________ Attached is a list of journalists that cover personal finance issues along with their addresses, phone...

* See Memorandum to SEC Rules Members No. 37-97 and Closed-End Investment Company Members No. 15-97, dated May 16, 1997. May 27, 1997 TO: BOARD OF GOVERNORS No. 34-97 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 21-97 SEC RULES COMMITTEE No. 54-97 RE: INSTITUTE AMICUS CURIAE MEMORANDUM...

May 14, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-97 UNIT INVESTMENT TRUST COMMITTEE No. 29-97 DURATION TASK FORCE RE: INSTITUTE DRAFT LETTER ON INVESTMENT COMPANY NAME RULE AND PROPOSED DURATION CALCULATION _______________________________________________________________...

May 7, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19-97 INVESTMENT ADVISERS COMMITTEE No. 17-97 SEC RULES COMMITTEE No. 49-97 UNIT INVESTMENT TRUST COMMITTEE No. 28-97 RE: SEC SEMI-ANNUAL REGULATORY AGENDA _____________________________________________________________________...

* See Memorandum to Closed-End Investment Company Members No. 9-97 and SEC Rules Members No. 19-97, dated March 6, 1997. April 30, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-97 SEC RULES COMMITTEE No. 46-97 RE: INSTITUTE COMMENT LETTER ON PROPOSED REVISIONS TO RULE 144...