SEC Rules Content

1 Release Nos. 33-7380; 34-38164; IC-22464 (January 14, 1997). 2 The changes to Regulation S-K generally would not apply to mutual funds, but might apply to other types of investment companies (such as closed-end funds). It should be noted, however, that legends similar to those in...

1 See Memorandum to SEC Rules Committee No. 121-96, dated November 15, 1996. 2 See Memorandum to SEC Rules Committee No. 139096, dated December 31, 1996. January 15, 1997 TO: SEC RULES COMMITTEE No. 6-97 RE: SEC EXTENDS COMMENT PERIOD FOR PROPOSED BROKER-DEALER BOOKS AND RECORDKEEPING...

1 See Memorandum to Money Market Funds Advisory Committee No. 13-96 and SEC Rules Committee No. 129-96, dated December 12, 1996. January 15, 1997 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 1-97 SEC RULES COMMITTEE No. 5-97 RE: INSTITUTE DRAFT COMMENT LETTER ON PROPOSED AMENDMENTS...

January 9, 1997 TO: SEC RULES COMMITTEE No. 4-97 RE: NOTICE OF MEETING - FEBRUARY 13TH ______________________________________________________________________________ A meeting of the SEC Rules Committee has been scheduled for Thursday, February 13, 1997 at the offices of the...

January 8, 1997 TO: INVESTMENT ADVISERS COMMITTEE No. 2-97 SEC RULES COMMITTEE No. 3-97 SMALL FUNDS COMMITTEE No. 1-97 RE: SEC REVIEW OF CERTAIN RULES UNDER THE INVESTMENT COMPANY ACT AND THE INVESTMENT ADVISERS ACT _____________________________________________________________________...

* NASD Notice to Members 96-82 (December 1996). January 7, 1997 TO: ADVERTISING SUBCOMMITTEE No. 3-97 SEC RULES COMMITTEE No. 2-97 RE: NASDR SOLICITS COMMENT ON RULES REGARDING REVIEW OF CORRESPONDENCE ______________________________________________________________________________ NASD...

January 6, 1997 TO: ADVERTISING SUBCOMMITTEE No. 2-97 SEC RULES COMMITTEE No. 1-97 RE: ARTICLE ON SECURITIES LAW DEVELOPMENTS IN CYBERSPACE ______________________________________________________________________________ Attached is a reprint of a recent article by the undersigned...

December 31, 1996 TO: ADVERTISING SUBCOMMITTEE No. 37-96 SEC RULES COMMITTEE No. 140-96 RE: NASDR SOLICITS COMMENT ON THE USE OF BOND FUND RISK RATINGS IN SUPPLEMENTAL SALES LITERATURE ______________________________________________________________________________ NASD Regulation, Inc...

December 31, 1996 TO: SEC RULES COMMITTEE No. 139-96 RE: INSTITUTE COMMENTS ON BROKER-DEALER BOOKS AND RECORDKEEPING PROPOSALS ______________________________________________________________________________ The Institute recently submitted the attached comment letter on the proposed...

December 26, 1996 TO: INVESTMENT ADVISER ASSOCIATE MEMBERS No. 50-96 INVESTMENT ADVISER MEMBERS No. 48-96 SEC RULES COMMITTEE No. 138-96 RE: SEC PROPOSALS RELATING TO INVESTMENT ADVISERS UNDER THE NATIONAL SECURITIES MARKETS IMPROVEMENT ACT OF 1996; JANUARY 14 MEETING ________________...