SEC Rules Content

* 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. [9135] August 6, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 24-97 SEC RULES COMMITTEE No. 77-97 UNIT INVESTMENT TRUST...

* NASD Notice to Members 97-48 (August 1997). In the same notice, NASDR proposes certain changes to Conduct Rule 2820, governing the sale and distribution of variable insurance contracts. [9134] August 6, 1997 TO: SEC RULES COMMITTEE No. 76-97 UNIT INVESTMENT TRUST COMMITTEE No. 50-97...

* See Memorandum to Accounting/Treasurers Committee No. 18-97, Investment Advisers Committee No. 22-97 and SEC Rules Committee No. 66-97, dated July 8, 1997. [9131] August 6, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 23-97 INVESTMENT ADVISERS COMMITTEE No. 26-97 SEC RULES COMMITTEE...

August 5, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 21-97 COMPLIANCE ADVISORY COMMITTEE No. 21-97 OPERATIONS COMMITTEE No. 27-97 PRIMARY CONTACTS - MEMBER COMPLEX No. 51-97 SEC RULES COMMITTEE No. 74-97 RE: POSSIBLE FORMATION OF AD HOC INTERNAL AUDIT COMMITTEE; MEETING SCHEDULED...

July 29, 1997 TO: BOARD OF GOVERNORS No. 45-97 INVESTMENT COMPANY DIRECTORS No. 5-97 PRIMARY CONTACTS - MEMBER COMPLEX No. 47-97 SEC RULES COMMITTEE No. 73-97 RE: 1997 INVESTMENT COMPANY DIRECTORS CONFERENCE _____________________________________________________________________________...

* See Memorandum to SEC Rules Members No. 47-97 and Bank Mutual Fund Task Force dated July 2, 1997. July 22, 1997 TO: SEC RULES COMMITTEE No. 72-97 BANK MUTUAL FUND TASK FORCE RE: INSTITUTE COMMENT LETTER ON NASD PROPOSAL TO AMEND DEFINITION OF BRANCH OFFICE __________________________...

* See Investment Company Act Release No. 22747 (July 14, 1997) ("Release"). July 16, 1997 TO: SEC RULES COMMITTEE No. 71-97 ACCOUNTING/TREASURERS COMMITTEE No. 19-97 UNIT INVESTMENT TRUST COMMITTEE No. 47-97 RE: SEC PROPOSES AMENDMENTS TO RULE 24f-2 TO IMPLEMENT A PROVISION OF THE...

* The NYSE interprets Rule 452 to allow member organizations to vote investment company shares held in nominee name without customer instructions on the initial approval of an investment advisory agreement. See Memorandum to Board of Governors No. 38-92, SEC Rules Members No. 20-92...

* See Memorandum to Advertising Subcommittee No. 22-97 and SEC Rules Committee No. 63-97, dated June 20, 1997. July 14, 1997 TO: ADVERTISING SUBCOMMITTEE No. 27-97 SEC RULES COMMITTEE No. 68-97 RE: INSTITUTE COMMENT LETTER ON NASDR CORRESPONDENCE RULE PROPOSAL ________________________...

* See Memorandum to SEC Rules Members No. 47-97 and Bank Mutual Fund Task Force dated July 7, 1997. July 14, 1997 TO: SEC RULES COMMITTEE No. 69-97 BANK MUTUAL FUND TASK FORCE RE: INSTITUTE PREPARES DRAFT COMMENT LETTER ON NASD PROPOSAL TO AMEND DEFINITION OF BRANCH OFFICE ___________...