SEC Rules Content

December 24, 1996 TO: ACCOUNTING/TREASURERS COMMITTEE No. 51-96 SEC RULES COMMITTEE No. 137-96 RE: SEC PROPOSED AMENDMENTS TO EDGAR RULES ______________________________________________________________________________ The Securities and Exchange Commission recently published the...

* See Memorandum to Advertising Subcommittee No. 32-96 and SEC Rules Members No. 75-96, dated Dec. 9, 1996. December 24, 1996 TO: ADVERTISING SUBCOMMITTEE No. 36-96 SEC RULES COMMITTEE No. 136-96 RE: INSTITUTE COMMENT LETTER ON NASD PROPOSAL ON INVESTMENT COMPANY RANKINGS ____________...

1 These include, for example, various regulations under the Bank Secrecy Act, such as rules adopted earlier this year governing certain wire and other funds transfers. 2 These regulations are designed to prohibit transactions by U.S. persons with certain foreign countries, persons and...

1 See Memorandum to SEC Rules Committee No. 87-96 and Risk Disclosure Task Force, dated July 31, 1996. December 20, 1996 TO: SEC RULES COMMITTEE No. 133-96 DURATION TASK FORCE RE: INSTITUTE SUBMISSION TO SEC STAFF PROPOSING A METHODOLOGY FOR CALCULATING PORTFOLIO DURATION ____________...

1 See Investment Company Act Release No. 22405 (December 18, 1996) ("Release"). December 20, 1996 TO: INVESTMENT ADVISERS COMMITTEE No. 29-96 SEC RULES COMMITTEE No. 134-96 RE: SEC PROPOSES RULES REGARDING PRIVATE INVESTMENT COMPANIES __________________________________________________...

* See Memorandum to Advertising Subcommittee No. 31-96 and SEC Rules Committee No. 124-96, dated November 26, 1996. December 19, 1996 TO: ADVERTISING SUBCOMMITTEE No. 34-96 SEC RULES COMMITTEE No. 131-96 RE: INSTITUTE LETTER ON NASD NOTICE ON SUITABILITY RESPONSIBILITIES _____________...

December 19, 1996 TO: BROKER/DEALER ADVISORY COMMITTEE No. 20-96 OPERATIONS COMMITTEE No. 34-96 SEC RULES COMMITTEE No. 132-96 TRANSFER AGENT ADVISORY COMMITTEE No. 71-96 RE: SEC STAFF INQUIRY REGARDING ""PORTABILITY"" OF MUTUAL FUND SHARES ____________________________________________...

1 Release Nos. 33-7371; IC-22383 (Dec. 10, 1996). 2 See Memorandum to Accounting/Treasurers Members No. 5-96, Money Market Funds Ad Hoc Committee No. 4-96, Money Market Members - One Per Complex No. 1-96, SEC Rules Members No. 14-96, dated March 25, 1996. 1 Resent due to pages 71 & 72...

December 12, 1996 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 39-96 SEC RULES COMMITTEE No. 130-96 UNIT INVESTMENT TRUST COMMITTEE No. 47-96 RE: INSTITUTE COMMENT LETTER ON NASD CASH AND NON-CASH COMPENSATION DISCLOSURE PROPOSAL ____________________________________________________...

December 9, 1996 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 38-96 INVESTMENT ADVISERS COMMITTEE No. 28-96 SEC RULES COMMITTEE No. 127-96 UNIT INVESTMENT TRUST COMMITTEE No. 46-96 RE: SEC SEMI-ANNUAL REGULATORY AGENDA _______________________________________________________________...