SEC Rules Content

* See Memorandum to SEC Rules Committee No. 35-97 and Bank Mutual Fund Task Force, dated March 31, 1997 (NASDR proposals); Memorandum to SEC Rules Committee No. 41-97 and Bank Mutual Fund Task Force, dated April 18, 1997 (draft comment letter). April 30, 1997 TO: SEC RULES COMMITTEE...

* See Memorandum to Closed-End Investment Company Members No. 9-97 and SEC Rules Members No. 19-97, dated March 6, 1997. April 30, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-97 SEC RULES COMMITTEE No. 46-97 RE: INSTITUTE COMMENT LETTER ON PROPOSED REVISIONS TO RULE 144...

April 30, 1997 TO: BROKER/DEALER ADVISORY COMMITTEE No. 9-97 COMPLIANCE ADVISORY COMMITTEE No. 16-97 INVESTMENT ADVISERS COMMITTEE No. 15-97 SEC RULES COMMITTEE No. 47-97 STATE LIAISON COMMITTEE No. 9-97 RE: INSTITUTE COMMENTS ON NASAA PROPOSAL RELATING TO SUITABILITY ________________...

1 See Securities Exchange Act Release No. 34-38506, 62 Fed. Reg. 19378 (April 21, 1997). 2 See Letter to Jonathan G. Katz, Secretary, SEC, from Paul Schott Stevens, Senior Vice President and General Counsel, Investment Company Institute (May 21, 1996). 3 The banking regulators that...

April 28, 1997 TO: BOARD OF GOVERNORS No. 29-97 INVESTMENT ADVISER MEMBERS No. 14-97 SEC RULES COMMITTEE No. 43-97 STATE SECURITIES MEMBERS No. 4-97 UNIT INVESTMENT TRUST COMMITTEE No. 23-97 RE: INSTITUTE COMMENT LETTER ON 1997 CONFERENCE ON FEDERAL-STATE SECURITIES REGULATION _______...

* See Memorandum to Primary Contacts - Member Complex No. 16-97, Investment Adviser Members No. 4-97, SEC Rules Members No. 20-97 and Accounting/Treasurers Members No. 11-97, dated March 10, 1997. April 18, 1997 TO: ACCOUNTING/TREASURERS MEMBERS No. 16-97 INVESTMENT ADVISER MEMBERS No...

* See Memorandum to SEC Rules Committee No. 35-97 and Memorandum to Bank Mutual Fund Task Force, dated March 31, 1997. April 18, 1997 TO: SEC RULES COMMITTEE No. 41-97 BANK MUTUAL FUND TASK FORCE RE: DRAFT COMMENT LETTER ON NASDR PROPOSALS CONCERNING REFERRAL FEES AND CUSTOMER...

* See Memorandum to SEC Rules Committee No. 24-97, dated March 3, 1997. Comments on the proposals must be filed by June 9th. April 18, 1997 TO: SEC RULES COMMITTEE No. 42-97 DISCLOSURE REFORM MEETING ATTENDEES RE: NOTICE OF MEETING TO DISCUSS DRAFT INSTITUTE COMMENT LETTERS ON...

* See Memorandum to Closed-End Investment Company Committee No. 4-97, Compliance Advisory Committee No. 6-97, SEC Rules Committee No. 22-97 and Unit Investment Trust Committee No. 12-97, dated February 25, 1997. April 15, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 16-97...

April 14, 1997 TO: SEC RULES COMMITTEE No. 38-97 STATE LIAISON COMMITTEE No. 7-97 RE: INSTITUTE COMMENTS ON NASAA PROPOSAL RELATING TO SALES PRACTICES ______________________________________________________________________________ On March 11, 1997, the NASAA Sales Practices Committee...