SEC Rules Content

* See Memorandum to Accounting/Treasurers Members No. 18-97; Closed-End Investment Company Members No. 14-97; International Members No. 7-97; SEC Rules Members No. 36-97; and Unit Investment Trust Members No. 14- 97, dated May 15, 1997. [9447] November 24, 1997 TO: CLOSED-END...

[9448] November 24, 1997 TO: BOARD OF GOVERNORS No. 64-97 ACCOUNTING/TREASURERS COMMITTEE No. 46-97 OPERATIONS COMMITTEE No. 41-97 SEC RULES COMMITTEE No. 117-97 RE: INSTITUTE RECOMMENDATION TO SEC ON CIRCUIT BREAKERS ___________________________________________________________________...

* See Memorandum to Closed-End Investment Company Committee No. 36-97, SEC Rules Committee No. 97-97, dated September 30, 1997. [9439] November 21, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 49-97 SEC RULES COMMITTEE No. 115-97 RE: SEC EXTENDS COMMENT PERIOD FOR PROPOSED...

* See Investment Advisers Act Release No. 1682 (Nov. 13, 1997). [9441] November 21, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 48-97 SEC RULES COMMITTEE No. 114-97 RE: SEC PROPOSES AMENDMENTS TO PERFORMANCE FEE RULE ___________________________________________________________...

* See Memorandum to SEC Rules Committee No. 83-97, dated August 29, 1997. See Memorandum to SEC Rules Committee No. 108-97, dated November 11, 1997, for a copy of the ICI
s draft comment letter on the concept release. [9433] November 19, 1997 TO: SEC RULES COMMITTEE No. 112-97 RE: SEC...

* As you may recall, NASDR issued a Notice to Members last year soliciting comment on the use of bond fund risk ratings in supplemental sales literature. In particular, NASDR solicited comment on whether it should continue to prohibit the use of these ratings. See Memorandum to Board...

1 Securities and Exchange Commission Release Nos. 33-7475, 34-39321 and IC-22884 (Nov. 13, 1997). 2 15 U.S.C. 77b(a)(10), 77d(1), 77e(b). [9437] November 19, 1997 TO: OPERATIONS COMMITTEE No. 40-97 TRANSFER AGENT ADVISORY COMMITTEE No. 67-97 SEC RULES COMMITTEE No. 113-97 CLOSED-END...

1 See Securities Exchange Act Release No. 34-39294 (Nov. 4, 1997), 62 Fed. Reg. 60542 (Nov. 10, 1997). 2 See Memorandum to Advertising Subcommittee No. 15-97, SEC Rules Committee No. 44-97, and Bank Mutual Fund Task Force, dated April 28, 1997. 3 The NASD will announce approval of the...

* See Memorandum to Closed-End Investment Company Committee No. 36-97, SEC Rules Committee No. 97-97, dated September 30, 1997. [9407] November 12, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 44-97 SEC RULES COMMITTEE No. 109-97 RE: INSTITUTE DRAFT LETTER REGARDING PROPOSED...

[9404] November 11, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 43-97 INVESTMENT ADVISERS COMMITTEE No. 32-97 SEC RULES COMMITTEE No. 107-97 UNIT INVESTMENT TRUST COMMITTEE No. 65-97 RE: SEC SEMI-ANNUAL REGULATORY AGENDA _______________________________________________________...