SEC Rules Content

1 SEC Release No. 34-38993 (August 29, 1997), 62 Fed. Reg. 47080 (September 5, 1997). 2 See Memorandum to Closed-End Fund Committee No. 18-96, SEC Rules Committee No. 72-96 and Unit Investment Trust Committee No. 27-96, dated July 10, 1996. 3 A reference in the July 1996 proposal to...

[9207] September 5, 1997 TO: SEC RULES COMMITTEE No. 86-97 RE: NOTICE OF MEETING - OCTOBER 22 ______________________________________________________________________________ A meeting of the SEC Rules Committee has been scheduled for Wednesday, October 22, 1997 at the offices of the...

[9219] September 5, 1997 TO: BOARD OF GOVERNORS No. 52-97 INVESTMENT COMPANY DIRECTORS No. 6-97 PRIMARY CONTACTS - MEMBER COMPLEX No. 58-97 SEC RULES COMMITTEE No. 84-97 RE: 1997 INVESTMENT COMPANY DIRECTORS CONFERENCE __________________________________________________________________...

* See Memorandum to SEC Rules Committee No. 76-97, dated August 6, 1997. [9220] September 5, 1997 TO: SEC RULES COMMITTEE No. 85-97 RE: DRAFT COMMENT LETTER ON PROPOSED AMENDMENTS TO NASD SALES CHARGE RULES ______________________________________________________________________________...

* See Securities Act Release No. 7438 (August 20, 1997),62 Fed. Reg. 45359 (August 27, 1997), (copy attached). [9202] August 29, 1997 TO: SEC RULES COMMITTEE No. 83-97 RE: SEC ISSUES CONCEPT RELEASE REGARDING EQUITY INDEX INSURANCE PRODUCTS ____________________________________________...

* See Memorandum to SEC Rules Committee No. 78-97 and Advertising Subcommittee No. 28-97, dated August 7, 1997. [9201] August 28, 1997 TO: ADVERTISING SUBCOMMITTEE No. 30-97 SEC RULES COMMITTEE No. 82-97 RE: INSTITUTE PREPARES DRAFT LETTER IN RESPONSE TO NASDR REQUEST FOR COMMENT ON...

1 Strougo v. Padegs, 964 F. Supp. 783 (S.D.N.Y. 1997). See Memorandum to SEC Rules Members No. 37-97 and Closed- End Investment Company Members No. 15-97, dated May 16, 1997. 2 See Memorandum to Board of Governors No. 34-97, Closed-End Investment Company Committee No. 21-97 and SEC...

* Memorandum to SEC Rules Committee No. 60-97, dated August 15, 1997. [9179] August 18, 1997 TO: SEC RULES COMMITTEE No. 79-97 RE: NASDR REQUESTS COMMENT ON CASH COMPENSATION -- INSTITUTE CONTACT PERSON ______________________________________________________________________________...

* See Memorandum to SEC Rules Committee No. 71-97, Accounting/Treasurers Committee No. 19-97 and Unit Investment Trust Committee No. 47-97, dated July 16, 1997. [9180] August 18, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 26-97 SEC RULES COMMITTEE No. 80-97 UNIT INVESTMENT TRUST...

1 See NASD Notice to Members 97-47 (August 1997). The Request for Comment is also available on the Internet at http://www.nasdr.com/2520.htm. 2 See MassMutual Institutional Funds (pub. avail. Sept. 28, 1995). 3 See Bramwell Growth Fund (pub. avail. Aug. 7, 1996). 4 See Nicholas...