SEC Rules Content

* See Memorandum to SEC Rules Committee No. 121-96, dated November 15, 1996. December 9, 1996 TO: SEC RULES COMMITTEE No. 128-96 RE: DRAFT COMMENT LETTER ON PROPOSED BROKER-DEALER BOOKS AND RECORDKEEPING REQUIREMENTS ____________________________________________________________________...

1 See Memorandum to SEC Rules Committee No. 119-96, dated November 6, 1996. December 6, 1996 TO: SEC RULES COMMITTEE No. 126-96 RE: INSTITUTE LETTER SUGGESTING CHANGES TO NASD RULES TO IMPLEMENT RULE 6c-10 AMENDMENTS ____________________________________________________________________...

December 4, 1996 TO: INVESTMENT ADVISERS COMMITTEE No. 27-96 OPERATIONS COMMITTEE No. 32-96 SEC RULES COMMITTEE No. 125-96 TRANSFER AGENT ADVISORY COMMITTEE No. 69-96 RE: INSTITUTE COMMENT LETTER ON PROPOSED RULES CONCERNING LOST SECURITYHOLDERS _______________________________________...

* NASD Notice to Members 96-60 (Sept. 1996). November 26, 1996 TO: ADVERTISING SUBCOMMITTEE No. 31-96 SEC RULES COMMITTEE No. 124-96 RE: DRAFT INSTITUTE LETTER ON NASD NOTICE ON SUITABILITY RESPONSIBILITIES ______________________________________________________________________________...

1 See Memorandum to Accounting/Treasurers Committee No. 36-96 and SEC Rules Committee No. 100-96, dated September 13, 1996. November 25, 1996 TO: ACCOUNTING/TREASURERS COMMITTEE No. 46-96 SEC RULES COMMITTEE No. 123-96 RE: INSTITUTE COMMENT LETTER ON PROPOSED AMENDMENTS TO RULE 18f-3...

November 19, 1996 TO: ACCOUNTING/TREASURERS COMMITTEE No. 45-96 SEC RULES COMMITTEE No. 122-96 RE: DRAFT PAPER ON MUTUAL FUND VALUATION AND LIQUIDITY ISSUES ______________________________________________________________________________ As you may know, the Institute has been working...

November 15, 1996 TO: COMPLIANCE ADVISORY COMMITTEE No. 33-96 SEC RULES COMMITTEE No. 121-96 RE: PROPOSED BROKER-DEALER BOOKS AND RECORDKEEPING REQUIREMENTS ______________________________________________________________________________ The Securities and Exchange Commission has...

1 NASD Notice to Members 96-68 (October 1996). November 7, 1996 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 37-96 SALES FORCE MARKETING COMMITTEE No. 38-96 SEC RULES COMMITTEE No. 120-96 UNIT INVESTMENT TRUST COMMITTEE No. 45-96 RE: NASD CASH AND NON-CASH COMPENSATION DISCLOSURE...

1 See Memorandum to SEC Rules Committee No. 108-96, dated October 14, 1996. November 6, 1996 TO: SEC RULES COMMITTEE No. 119-96 RE: DRAFT LETTER TO NASD CONCERNING PROPOSED RULE CHANGES TO IMPLEMENT RULE 6c-10 AMENDMENTS ________________________________________________________________...

1 See Memorandum to Accounting/Treasurers Committee No. 36-96 and SEC Rules Committee No. 100-96, dated September 13, 1996. November 5, 1996 TO: ACCOUNTING/TREASURERS COMMITTEE No. 42-96 SEC RULES COMMITTEE No. 118-96 RE: DRAFT COMMENT LETTER ON PROPOSED AMENDMENTS TO RULE 18f-3 AND...