SEC Rules Content

1 See Memorandum to SEC Rules Members No. 37-98, dated May 20, 1998. The letter addresses the following topics: (1) 485(a) filing; (2) preparation of a profile before the amended prospectus; (3) filing and use of the profile; (4) the three-day delivery requirement; and (5) the 4 to 6...

* See Memorandum to Advertising Compliance Subcommittee No. 20-98 and SEC Rules Committee No. 42-98, dated May 12, 1998. [9947] May 20, 1998 TO: ADVERTISING COMPLIANCE SUBCOMMITTEE No. 21-98 SEC RULES COMMITTEE No. 45-98 RE: DRAFT COMMENT LETTER ON PROPOSED CHANGES TO NASD RULES...

[9930] May 15, 1998 TO: SEC RULES COMMITTEE No. 44-98 RE: ICI LETTER REGARDING REVIEW OF SEC ENFORCEMENT DIVISION ______________________________________________________________________________ The ICI recently submitted a letter to Commissioner Unger regarding the SEC’s review of its...

1 Commodity Futures Trading Commission, Over-the-Counter Derivatives, Concept Release (May 7, 1998), 63 Fed. Reg. 26114 (May 12, 1998). [9926] May 13, 1998 TO: SEC RULES COMMITTEE No. 43-98 RE: CFTC CONCEPT RELEASE ON OTC DERIVATIVES ___________________________________________________...

1 See Memorandum to Advertising Subcommittee No. 14-98 and SEC Rules Committee No. 34-98, dated April 17, 1998. 2 See Memorandum to Advertising Compliance Subcommittee No. 17-98 and SEC Rules Committee No. 39-98, dated May 1, 1998. [9924] May 12, 1998 TO: ADVERTISING COMPLIANCE...

1 See Securities and Exchange Release No. 34-39942 (May 1, 1998), 63 Fed. Reg. 25532 (May 8, 1998). 2 See NASD Notice to Members 97-37 (June 1997); see also Memorandum to Advertising Subcommittee No. 22-97 and SEC Rules Committee No. 63-97, dated June 20, 1997. 3 See Memorandum to...

[9904] May 6, 1998 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-98 INVESTMENT ADVISERS COMMITTEE No. 18-98 SEC RULES COMMITTEE No. 40-98 UNIT INVESTMENT TRUST COMMITTEE No. 17-98 RE: SEC SEMI-ANNUAL REGULATORY AGENDA ______________________________________________________________...

* See Memorandum to Advertising Subcommittee No. 14-98 and SEC Rules Committee No. 34-98, dated April 17, 1998. [9896] May 1, 1998 TO: ADVERTISING COMPLIANCE SUBCOMMITTEE No. 17-98 SEC RULES COMMITTEE No. 39-98 RE: DRAFT COMMENT LETTER ON NASDR PROPOSED RULE AMENDMENTS REGARDING...

1 See SEC Release No. 34-39839; File No. SR-NYSE-97-37 (April 8, 1998). Specifically, the rule modifies the shareholder approval policy contained in paragraphs 312.03 and 312.04 of the NYSEGs Listed Company Manual. 2 The only exception, which continues in a modified form under the new...

[9887] April 29, 1998 TO: ACCOUNTING/TREASURERS COMMITTEE No. 21-98 SEC RULES COMMITTEE No. 37-98 TAX COMMITTEE No. 16-98 RE: DRAFT SECURITIES LENDING PAPER _______________________________________________________________________ Enclosed is a draft paper on securities lending for your...