SEC Rules Content

August 2, 1996 TO: CLOSED-END FUND COMMITTEE No. 24-96 SEC RULES COMMITTEE No. 86-96 RE: REPORT OF SEC ADVISORY COMMITTEE ON CAPITAL FORMATION AND RELATED CONCEPT RELEASE ______________________________________________________________________________ In February 1995, the Securities...

August 2, 1996 TO: BANK INVESTMENT MANAGEMENT MEMBERS No. 20-96 BOARD OF GOVERNORS No. 46-96 SEC RULES COMMITTEE No. 85-96 BANK MUTUAL FUND TASK FORCE RE: INSTITUTE COMMENT LETTER TO FEDERAL RESERVE ON PERMITTING BANK PERSONNEL TO SERVE ON FUND BOARDS _________________________________...

1 NASD Notice to Members No. 44-96 (July 1996) and SEC Release No. 34-37475 (July 24, 1996). August 2, 1996 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 UNIT INVESTMENT TRUST COMMITTEE...

July 30, 1996 TO: BOARD OF GOVERNORS No. 45-96 INVESTMENT COMPANY DIRECTORS No. 9-96 MEMBERS - ONE PER COMPLEX No. 58-96 SEC RULES COMMITTEE No. 82-96 RE: 1996 INVESTMENT COMPANY DIRECTORS CONFERENCE, OCTOBER 30 - NOVEMBER 1 IN WASHINGTON, DC __________________________________________...

July 30, 1996 TO: CLOSED-END FUND COMMITTEE No. 22-96 SEC RULES COMMITTEE No. 83-96 UNIT INVESTMENT TRUST COMMITTEE No. 31-96 RE: SEC PROPOSALS FOR ASSET-BACKED SECURITIES DISCLOSURE ______________________________________________________________________________ The Institute has...

1 See Memorandum to Closed-End Fund Committee No. 18-96, SEC Rules Committee No. 72-96 and Unit Investment Trust Committee No. 27-96, dated July 10, 1996. July 30, 1996 TO: CLOSED-END FUND COMMITTEE No. 23-96 SEC RULES COMMITTEE No. 84-96 UNIT INVESTMENT TRUST COMMITTEE No. 32-96 RE...

1See Memorandum to Accounting/Treasurers Committee No. 14-96, SEC Rules Committee No. 29-96, Equity Markets Task Force, dated May 1, 1996. July 26, 1996 TO: ACCOUNTING/TREASURERS COMMITTEE No. 32-96 SEC RULES COMMITTEE No. 80-96 RE: APPROVAL OF NYSE PROPOSAL TO AMEND ""CIRCUIT BREAKER...

July 26, 1996 TO: SEC RULES COMMITTEE No. 81-96 STATE SECURITIES MEMBERS No. 27-96 UNIT INVESTMENT TRUST MEMBERS No. 33-96 RE: VERMONT AMENDS SECURITIES ACT TO ELIMINATE NEED FOR ISSUERS TO REGISTER AS BROKER-DEALERS, EXPAND COMMISSIONER’S AUTHORITY AND ADOPT AN EXEMPTION FOR SALES TO...

1 See Memorandum to Closed-End Fund Committee No. 39-95, International Committee No. 20-95, SEC Rules Committee No. 88-95, Unit Investment Trust Committee No. 60-95, Rule 17f-5 Ad Hoc Subcommittee, dated August 1, 1995. July 26, 1996 TO: ACCOUNTING/TREASURERS COMMITTEE No. 31-96...

1 See Memorandum to SEC Rules Committee No. 17-89, Closed-end Fund Committee No. 6-89, Investment Advisers Committee No. 14-89, dated March 21, 1989 (proposing release); Memorandum to SEC Rules Committee No. 25-89, Closed-end Fund Committee No. 16-89, Investment Advisers Committee No...