SEC Rules Content

1 See Memorandum to SEC Rules Committee No. 76-97, dated August 6, 1997. 2 See Memorandum to SEC Rules Committee No. 85-97, dated September 5, 1997. [9290] September 30, 1997 TO: SEC RULES COMMITTEE No. 96-97 RE: COMMENT LETTER ON PROPOSED AMENDMENTS TO NASD SALES CHARGE RULES _______...

1 SEC Release Nos. 34-39093 and IC-22828, File No. S7-25-97 (Sept. 18, 1997) ("Release"). 2 SEC No-Action Letter (pub. avail. Oct. 13, 1992). [9288] September 30, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-97 SEC RULES COMMITTEE No. 97-97 RE: SEC PROPOSES AMENDMENTS TO...

* See Memorandum to SEC Rules Committee No. 78-97 and Advertising Subcommittee No. 28-97, dated August 7, 1997. [9283] September 29, 1997 TO: ADVERTISING SUBCOMMITTEE No. 33-97 SEC RULES COMMITTEE No. 94-97 RE: INSTITUTE LETTER IN RESPONSE TO NASDR REQUEST FOR COMMENT ON RELATED...

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...

* See Memorandum to Closed-End Investment Company Committee No. 29-97 and Unit Investment Trust Committee No. 52-97, dated August 15, 1997; Memorandum to SEC Rules Members No. 60-97, dated August 15, 1997. [9280] September 26, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-97...

* See Memorandum to Closed-End Investment Company Committee No. 33-97, SEC Rules Committee No. 91-97 and Unit Investment Trust Committee No. 57-97, dated September 17, 1997. [9281] September 26, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-97 SEC RULES COMMITTEE No. 93-97...

* See Memorandum to Closed-End Investment Company Committee No. 32-97, SEC Rules Committee No. 87-97 and Unit Investment Trust Committee No. 55-97, dated September 8, 1997. [9251] September 17, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-97 SEC RULES COMMITTEE No. 91-97...

1 The ICI submitted initial comments in opposition to the use of such ratings in February, responding to NASDR
s request for comment on the use of bond fund risk ratings in supplemental sales literature. See Memorandum to Board of Governors No. 10-97, Advertising Subcommittee No. 9-97...

1 62 Fed. Reg. 47858 (Sept. 11, 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 15, 1996). [9245] September 15, 1997 TO: ADVERTISING SUBCOMMITTEE No. 31-97...

1 NASD Notice to Members 97-58 (September 1997). 2 Other than in its title, however, the text of IM 1031 as proposed does not specifically refer to cold calling or telemarketing. 3 IM 1031 would define "existing customer" as a customer for whom the broker or dealer, or a clearing...