SEC Rules Content

* See Memorandum to SEC Rules Committee No. 83-97, dated August 29, 1997. [9405] November 11, 1997 TO: SEC RULES COMMITTEE No. 108-97 RE: DRAFT COMMENT LETTER ON SEC CONCEPT RELEASE REGARDING EQUITY INDEX INSURANCE PRODUCTS _____________________________________________________________...

[9393] November 6, 1997 TO: SEC RULES COMMITTEE No. 106-97 RE: SPECIAL MEETING TO BE HELD DURING THE 1997 ICI SECURITIES LAW PROCEDURES CONFERENCE ______________________________________________________________________________ As in the past, we have scheduled a meeting for members of...

[9387] November 3, 1997 TO: SEC RULES COMMITTEE No. 105-97 RE: SEC YEAR 2000 COMPLIANCE QUESTIONNAIRE ______________________________________________________________________________ As discussed at the last meeting of the SEC Rules Committee, in connection with some recent SEC...

1 See Memorandum to SEC Rules Committee No. 88-97, dated September 11, 1997. 2 See Memorandum to SEC Rules Committee No. 103-97, dated October 20, 1997. [9386] October 31, 1997 TO: SEC RULES COMMITTEE No. 104-97 RE: COMMENT LETTER ON NASDR PROPOSAL REGARDING UNREGISTERED PERSONS’...

* See Memorandum to SEC Rules Committee No. 88-97, dated September 11, 1997. [9351] October 20, 1997 TO: SEC RULES COMMITTEE No. 103-97 RE: DRAFT COMMENT LETTER ON NASDR PROPOSAL REGARDING UNREGISTERED PERSONS’ COMMUNICATIONS WITH THE PUBLIC ___________________________________________...

* See Memorandum to Closed-End Investment Company Committee No. 34-97, SEC Rules Committee No. 92-97 and Unit Investment Trust Committee No. 58-97, dated September 26, 1997. [9350] October 20, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 38-97 SEC RULES COMMITTEE No. 102-97...

[9323] October 10, 1997 TO: SEC RULES COMMITTEE No. 100-97 RE: DRAFT AGENDA FOR OCTOBER 22 MEETING ______________________________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for Wednesday, October 22, 1997 at...

[9331] October 10, 1997 TO: SEC RULES COMMITTEE No. 101-97 RE: INSTITUTE PREPARES DRAFT LETTER REQUESTING STAFF MODIFICATION OF BOARDS OF DIRECTORS’ REVIEW RESPONSIBILITIES REGARDING REPURCHASE AGREEMENTS ______________________________________________________________________________...

[9319] October 8, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 29-97 SEC RULES COMMITTEE No. 99-97 SOFT DOLLARS TASK FORCE RE: DRAFT ICI PAPER ON BROKERAGE ALLOCATION PRACTICES ______________________________________________________________________________ As we discussed at recent...

1 See Memorandum to Advertising Subcommittee No. 31-97 and SEC Rules Committee No. 89-97 dated September 15, 1997. 2 See Securities Act Release No. 7233 (Oct. 6, 1995), 60 Fed. Reg. 53458 (Oct. 13, 1995); Securities Exchange Act Release No. 37182 (May 9, 1997), 61 Fed. Reg. 24644 (May...