SEC Rules Content

* See Memorandum to Advertising Subcommittee No. 37-96 and SEC Rules Committee No. 140-96, dated December 31, 1996 and Memorandum to Unit Investment Trust Committee No. 6-97, dated February 7, 1997. February 10, 1997 TO: ADVERTISING SUBCOMMITTEE No. 7-97 SEC RULES COMMITTEE No. 17-97...

February 7, 1997 TO: SEC RULES COMMITTEE No. 16-97 SMALL FUNDS COMMITTEE No. 3-97 STATE LIAISON COMMITTEE No. 2-97 UNIT INVESTMENT TRUST COMMITTEE No. 7-97 RE: TEXAS PROPOSES RULES TO ACCOMMODATE NATIONAL MARKETS BILL ___________________________________________________________________...

* See Memorandum to Broker/Dealer Advisory Committee No. 20-96, Operations Committee No. 34-96, SEC Rules Committee No. 132-96 and Transfer Agent Advisory Committee No. 71-96, dated December 19, 1996. February 6, 1997 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-97 OPERATIONS COMMITTEE...

1 For example, the CFTC approved a proposed rule change by the Chicago Mercantile Exchange to increase the circuit breaker triggers on the S&P 500 futures contract to 45 and 70 points, respectively. February 5, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 3-97 SEC RULES COMMITTEE No...

February 4, 1997 TO: SEC RULES COMMITTEE No. 13-97 RE: DRAFT AGENDA FOR FEBRUARY 13 MEETING ______________________________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for Thursday, February 13, 1997. The...

* See Memorandum to Advertising Subcommittee No. 3-97 and SEC Rules Committee No. 2-97, dated Jan. 7, 1997. January 31, 1997 TO: ADVERTISING SUBCOMMITTEE No. 6-97 SEC RULES COMMITTEE No. 12-97 RE: INSTITUTE COMMENT LETTERS ON NASDR RULE PROPOSAL ON REVIEW OF CORRESPONDENCE ___________...

January 29, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-97 INVESTMENT ADVISERS COMMITTEE No. 5-97 SEC RULES COMMITTEE No. 11-97 SMALL FUNDS COMMITTEE No. 2-97 UNIT INVESTMENT TRUST COMMITTEE No. 4-97 RE: SEC PROPOSES NEW DEFINITIONS OF ""SMALL BUSINESS"" IN CONNECTION WITH...

1 See Memorandum to Money Market Funds Advisory Committee No. 1-97 and SEC Rules Committee No. 5-97, dated January 15, 1997. January 27, 1997 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 3-97 SEC RULES COMMITTEE No. 10-97 RE: INSTITUTE COMMENTS ON PROPOSED AMENDMENTS TO RULE 2a-7 ___...

* See Memorandum to SEC Rules Committee No. 134-96 (Dec. 20, 1996). January 22, 1997 TO: SEC RULES COMMITTEE No. 9-97 RE: INSTITUTE’S DRAFT COMMENT LETTER ON PROPOSED PRIVATE INVESTMENT COMPANY RULES ______________________________________________________________________________ As we...

1 See Memorandum to Accounting/Treasurers Committee No. 51-96 and SEC Rules Committee No. 137-96, dated December 24, 1996. January 17, 1997 TO: ACCOUNTING/TREASURERS COMMITTEE No. 1-97 SEC RULES COMMITTEE No. 8-97 RE: INSTITUTE COMMENT LETTER ON PROPOSED AMENDMENTS TO EDGAR RULES ____...