SEC Rules Content

April 10, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-97 INVESTMENT ADVISERS COMMITTEE No. 14-97 SEC RULES COMMITTEE No. 37-97 STATE LIAISON COMMITTEE No. 6-97 UNIT INVESTMENT TRUST COMMITTEE No. 21-97 RE: COMMENTS REQUESTED FOR THE 1997 CONFERENCE ON UNIFORMITY OF FEDERAL...

April 3, 1997 TO: BOARD OF GOVERNORS No. 22-97 INVESTMENT ADVISERS COMMITTEE No. 13-97 SEC RULES COMMITTEE No. 36-97 RE: ARTICLE ON NATIONAL SECURITIES MARKETS IMPROVEMENT ACT OF 1996 ______________________________________________________________________________ We thought you might...

1 See NASDR Notice to Members 97-11 (March 1997) ("NTM 97-11"). 2 See NASDR Notice to Members 97-12 (March 1997) ("NTM 97-12"). 3 The Institute opposed both provisions in its comment letter to the SEC on the proposed bank broker-dealer rule. See Memorandum to Bank Investment...

* See Memorandum to Closed-End Investment Company Committee No. 1-97, SEC Rules Committee No. 7-97 and Unit Investment Trust Committee No. 2-97, dated January 16, 1997 (proposal) and Memorandum to Closed-End Investment Company Committee No. 8-97, SEC Rules Committee No. 28-97 and Unit...

March 24, 1997 TO: SEC RULES COMMITTEE No. 33-97 UNIT INVESTMENT TRUST COMMITTEE No. 18-97 RE: INSTITUTE COMMENT LETTER ON SCOPE OF PREEMPTION OF STATE REGULATION OF OFFERING DOCUMENTS ______________________________________________________________________________ Attached is a copy of...

March 14, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-97 SEC RULES COMMITTEE No. 31-97 RE: SEC REQUIRES CLOSED-END FUND TO INCLUDE SHAREHOLDER PROPOSAL REQUESTING BORAD TO SOLICIT PROPOSALS FOR NEW INVESTMENT ADVISER _________________________________________________________...

* See Memorandum to SEC Rules Committee No. 16-97, Small Funds Committee No. 3-97. State Liaison Committee No. 2-97 and Unit Investment Trust Committee No. 7-97, dated February 7, 1997. March 13, 1997 TO: SEC RULES COMMITTEE No. 30-97 SMALL FUNDS COMMITTEE No. 5-97 STATE LIAISON...

* See Memorandum to SEC Rules Members No. 16-97, dated February 28, 1997. March 10, 1997 TO: SEC RULES COMMITTEE No. 29-97 RE: SUMMARY OF SEC ENFORCEMENT PROCEEDINGS AND CASES INVOLVING VALUATION ISSUES ______________________________________________________________________________ The...

* See Memorandum to SEC Rules Committee No. 20-97 and Unit Investment Trust Committee No. 10-97, dated February 21, 1997. March 7, 1997 TO: SEC RULES COMMITTEE No. 27-97 UNIT INVESTMENT TRUST COMMITTEE No. 14-97 RE: DRAFT COMMENT LETTER ON SEC PROPOSAL REGARDING SCOPE OF PREEMPTION OF...