SEC Rules Content

* 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. March 7, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-97 SEC RULES COMMITTEE No. 28-97 UNIT INVESTMENT...

1 Securities Act Release No. 7390, dated February 20, 1997. 2 Securities Act Release No. 7391, dated February 20, 1997. 3 Securities Act Release No. 7392, dated February 20, 1997. 1 March 6, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-97 INTERNATIONAL COMMITTEE No. 10-97...

1 See Memorandum to Advertising Subcommittee No. 34-96 and SEC Rules Committee No. 131-96, dated December 19, 1996. 2 See Memorandum to Advertising Subcommittee No. 31-96 and SEC Rules Committee No. 124-96, dated November 26, 1996. March 5, 1997 TO: ADVERTISING SUBCOMMITTEE No. 11-97...

1 Investment Company Act Release No. 22528 (February 27, 1997). March 3, 1997 TO: SEC RULES COMMITTEE No. 24-97 RE: SEC ISSUES MAJOR DISCLOSURE INITIATIVES ______________________________________________________________________________ The Securities and Exchange Commission has issued...

February 26, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 5-97 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-97 SEC RULES COMMITTEE No. 23-97 RE: ELECTRONIC FILING OF CERTAIN INVESTMENT COMPANY FORMS ON EDGAR ____________________________________________________________________________...

* See Memorandum to Board of Governors No. 67-96, Advertising Subcommitte No. 140-96, dated December 31, 1996 and Memorandum to Unit Investment Trust Committee No. 6-97, dated February 7, 1997. February 25, 1997 TO: BOARD OF GOVERNORS No. 10-97 ADVERTISING SUBCOMMITTEE No. 9-97 SEC...

February 25, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-97 COMPLIANCE ADVISORY COMMITTEE No. 6-97 SEC RULES COMMITTEE No. 22-97 UNIT INVESTMENT TRUST COMMITTEE No. 12-97 RE: SUMMARY OF NON-1940 ACT INVESTMENT RESTRICTIONS ___________________________________________________...

* SEC Release No. 33-7388 (February 11, 1997); 62 Fed. Reg. 7186 (February 18, 1997) ("Proposing Release"). February 21, 1997 TO: SEC RULES COMMITTEE No. 20-97 UNIT INVESTMENT TRUST COMMITTEE No. 10-97 RE: SEC PROPOSAL RELATING TO DETERMINATION OF WHETHER AN OFFERING DOCUMENT IS...

February 19, 1997 TO: COMPLIANCE ADVISORY COMMITTEE No. 4-97 SEC RULES COMMITTEE No. 19-97 RE: INSTITUTE PUBLISHES GUIDE TO FOREIGN MARKETING REGULATIONS ______________________________________________________________________________ The Institute frequently receives questions from...

1 See Memorandum to SEC Rules Committee No. 134-96 (Dec. 20, 1996). February 11, 1997 TO: SEC RULES COMMITTEE No. 18-97 RE: INSTITUTE COMMENT LETTER ON PROPOSED PRIVATE INVESTMENT COMPANY RULES ______________________________________________________________________________ As we...