Closed-End Investment Company Content

* Investment Company Act Release No. 22530 (February 27, 1997). March 6, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-97 RE: SEC PROPOSES NAME TEST RULE ______________________________________________________________________________ The Securities and Exchange Commission has...

1 Securities Act Release No. 7390, dated February 20, 1997. 2 Securities Act Release No. 7391, dated February 20, 1997. 3 Securities Act Release No. 7392, dated February 20, 1997. 1 March 6, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-97 INTERNATIONAL COMMITTEE No. 10-97...

February 26, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 5-97 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-97 SEC RULES COMMITTEE No. 23-97 RE: ELECTRONIC FILING OF CERTAIN INVESTMENT COMPANY FORMS ON EDGAR ____________________________________________________________________________...

February 25, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-97 COMPLIANCE ADVISORY COMMITTEE No. 6-97 SEC RULES COMMITTEE No. 22-97 UNIT INVESTMENT TRUST COMMITTEE No. 12-97 RE: SUMMARY OF NON-1940 ACT INVESTMENT RESTRICTIONS ___________________________________________________...

1 See Institute Memorandum to Closed-End Fund Committee No. 7-96, Operations Members No. 12-96, Pension Members No. 15-96, Tax Members No. 13-96, Transfer Agent Advisory Committee No. 15-96, and Unit Investment Trust Committee No. 10-96, dated March 26, 1996. - 1 - February 12, 1997...

January 29, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-97 INVESTMENT ADVISERS COMMITTEE No. 5-97 SEC RULES COMMITTEE No. 11-97 SMALL FUNDS COMMITTEE No. 2-97 UNIT INVESTMENT TRUST COMMITTEE No. 4-97 RE: SEC PROPOSES NEW DEFINITIONS OF ""SMALL BUSINESS"" IN CONNECTION WITH...

1 Release Nos. 33-7380; 34-38164; IC-22464 (January 14, 1997). 2 The changes to Regulation S-K generally would not apply to mutual funds, but might apply to other types of investment companies (such as closed-end funds). It should be noted, however, that legends similar to those in...

December 12, 1996 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 39-96 SEC RULES COMMITTEE No. 130-96 UNIT INVESTMENT TRUST COMMITTEE No. 47-96 RE: INSTITUTE COMMENT LETTER ON NASD CASH AND NON-CASH COMPENSATION DISCLOSURE PROPOSAL ____________________________________________________...

December 9, 1996 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 38-96 INVESTMENT ADVISERS COMMITTEE No. 28-96 SEC RULES COMMITTEE No. 127-96 UNIT INVESTMENT TRUST COMMITTEE No. 46-96 RE: SEC SEMI-ANNUAL REGULATORY AGENDA _______________________________________________________________...

1 NASD Notice to Members 96-68 (October 1996). November 7, 1996 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 37-96 SALES FORCE MARKETING COMMITTEE No. 38-96 SEC RULES COMMITTEE No. 120-96 UNIT INVESTMENT TRUST COMMITTEE No. 45-96 RE: NASD CASH AND NON-CASH COMPENSATION DISCLOSURE...