SEC Rules Content

1 See Memorandum to Closed-End Fund Committee No. 20-96, Investment Advisers Committee No. 18-96, SEC Rules Committee No. 77-96, and Unit Investment Trust Committee No. 29-96, dated July 25, 1996. September 9, 1996 TO: CLOSED-END FUND COMMITTEE No. 30-96 INVESTMENT ADVISERS COMMITTEE...

September 6, 1996 TO: BOARD OF GOVERNORS No. 50-96 INVESTMENT COMPANY DIRECTORS No. 10-96 MEMBERS - ONE PER COMPLEX No. 63-96 SEC RULES COMMITTEE No. 96-96 RE: 1996 INVESTMENT COMPANY DIRECTORS CONFERENCE ______________________________________________________________________________...

September 6, 1996 TO: SEC RULES COMMITTEE No. 95-96 STATE LIAISON COMMITTEE No. 24-96 UNIT INVESTMENT TRUST COMMITTEE No. 37-96 RE: OHIO PROPOSES REPEAL OF RULE IMPOSING INCONSISTENT INVESTMENT LIMITATIONS ______________________________________________________________________________...

September 5, 1996 TO: COMPLIANCE COMMITTEE No. 27-96 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 3-96 DIRECT MARKETING COMMITTEE No. 26-96 MARKETING POLICY COMMITTEE No. 30-96 MEMBERS INTERESTED IN CONTINUING EDUCATION/TRAINING No. 7-96 MEMBERS INTERESTED IN PUBLIC...

September 4, 1996 TO: INVESTMENT ADVISERS COMMITTEE No. 20-96 OPERATIONS COMMITTEE No. 21-96 SEC RULES COMMITTEE No. 93-96 TRANSFER AGENT ADVISORY COMMITTEE No. 54-96 ABANDONED PROPERTY TASK FORCE RE: SEC PROPOSED RULES CONCERNING LOST SECURITYHOLDERS _________________________________...

1 See SEC Rules Members No. 82-95 (December 22, 1995). August 28, 1996 TO: ACCOUNTING/TREASURERS COMMITTEE No. 35-96 SEC RULES COMMITTEE No. 92-96 RE: PROPOSED RULE IMPLEMENTING REPORTING OF ILLEGAL ACTS ______________________________________________________________________________...

August 27, 1996 TO: SEC RULES COMMITTEE No. 91-96 SMALL FUNDS COMMITTEE No. 19-96 STATE SECURITIES MEMBERS No. 32-96 UNIT INVESTMENT TRUST MEMBERS No. 39-96 RE: PUERTO RICO ADOPTS BLUE CHIP EXEMPTION ______________________________________________________________________________ The...

1 See Memorandum to Closed-End Fund Committee No. 20-96, Investment Advisers Committee No. 18-96, SEC Rules Committee No. 77-96, Unit Investment Trust Committee No. 29-96, dated July 25, 1996. August 26, 1996 TO: CLOSED-END FUND COMMITTEE No. 27-96 INVESTMENT ADVISERS COMMITTEE No. 19...

1 See Memorandum to Compliance Committee No. 22-96, Direct Marketing Committee No. 22-96, Sales Force Marketing Committee No. 25-96, SEC Rules Committee No. 87-96 and Unit Investment Trust Committee No. 33-96, dated August 2, 1996. August 22, 1996 TO: COMPLIANCE COMMITTEE No. 25-96...

1 NASD Notice to Members 96-50 (July 1996). August 19, 1996 TO: SEC RULES COMMITTEE No. 88-96 SUBCOMMITTEE ON ADVERTISING No. 24-96 RE: NASD NOTICE ON SUPERVISORY AND OTHER OBLIGATIONS RELATED TO USE OF ELECTRONIC MEDIA _________________________________________________________________...