SEC Rules Content

July 9, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 23-97 SEC RULES COMMITTEE No. 67-97 STATE LIAISON COMMITTEE No. 20-97 RE: NORTH DAKOTA PUBLISHES BUSINESS CONDUCT RULES FOR COMMENT ______________________________________________________________________________ The North Dakota...

* SEC Release No. IC-22731 (July 1, 1997). July 8, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-97 INVESTMENT ADVISERS COMMITTEE No. 22-97 SEC RULES COMMITTEE No. 66-97 RE: SEC PROPOSES MANDATORY ELECTRONIC FILING OF FORM 13F ________________________________________________________...

* See Memorandum to Advertising Subcommittee No. 22-97 and SEC Rules Committee No. 63-97, dated June 20, 1997. July 7, 1997 TO: ADVERTISING SUBCOMMITTEE No. 25-97 SEC RULES COMMITTEE No. 65-97 RE: INSTITUTE PREPARES DRAFT COMMENT LETTER ON NASDR CORRESPONDENCE RULE PROPOSAL __________...

* See Memorandum to Advertising Subcommittee No. 17-97 and SEC Rules Committee No. 53-97, dated May 20, 1997 (NASDR proposal); and Memorandum to SEC Rules Committee No. 61-97 and Advertising Subcommittee No. 21-97, dated June 19, 1997 (draft comment letter). June 30, 1997 TO: SEC...

1 NASD Notice to Members 97-37 (June 1997). June 20, 1997 TO: ADVERTISING SUBCOMMITTEE No. 22-97 SEC RULES COMMITTEE No. 63-97 RE: NASDR SOLICITS COMMENT ON PROPOSED CHANGES TO RULES GOVERNING CORRESPONDENCE WITH CUSTOMERS ______________________________________________________________...

June 20, 1997 TO: SEC RULES COMMITTEE No. 62-97 RE: CBOE PROPOSES TO TRADE OPTIONS ON MUTUAL FUND INDEXES ______________________________________________________________________________ The Chicago Board Options Exchange, Incorporated ("CBOE") has filed a proposed rule change with the...

* See Memorandum to Advertising Subcommittee No. 17-97 and SEC Rules Committee No. 53-97, dated May 20, 1997. June 19, 1997 TO: SEC RULES COMMITTEE No. 61-97 ADVERTISING SUBCOMMITTEE No. 21-97 RE: INSTITUTE PREPARES DRAFT COMMENT LETTER ON NASDR RISK DISCLOSURE RULE PROPOSAL _________...

June 13, 1997 TO: SEC RULES COMMITTEE No. 60-97 RE: PROPOSED ANNEX TO PSA MASTER REPO AGREEMENT FOR TRANSACTIONS IN EQUITY SECURITIES ______________________________________________________________________________ PSA The Bond Market Trade Association has published for comment a draft...

* See Memorandum to Primary Contacts - Member Complex No. 14-97 and SEC Rules Members No. 17-97, dated March 3, 1997; Memorandum to Unit Investment Trust Committee No. 16-97, dated March 10, 1997. June 9, 1997 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 37-97 SEC RULES COMMITTEE No. 59...

May 30, 1997 TO: ADVERTISING SUBCOMMITTEE No. 18-97 SEC RULES COMMITTEE No. 58-97 STATE LIAISON COMMITTEE No. 15-97 UNIT INVESTMENT TRUST COMMITTEE No. 35-97 RE: INSTITUTE COMMENTS ON NASAA ADVERTISING PROPOSAL __________________________________________________________________________...