SEC Rules Content

July 25, 1996 TO: BOARD OF GOVERNORS No. 44-96 SEC RULES COMMITTEE No. 78-96 SMALL FUNDS COMMITTEE No. 15-96 STATE SECURITIES MEMBERS No. 25-96 UNIT INVESTMENT TRUST MEMBERS No. 32-96 RE: CALIFORNIA ADOPTS EXEMPTION FROM REGISTRATION FOR ALL MUTUAL FUNDS AND UNIT INVESTMENT TRUSTS ___...

1 See Memorandum to Closed-End Fund Committee No. 15-96, SEC Rules Committee No. 56-96, dated June 10, 1996. July 25, 1996 TO: CLOSED-END FUND COMMITTEE No. 19-96 SEC RULES COMMITTEE No. 76-96 RE: INSTITUTE COMMENTS ON PROPOSED DISCLOSURE SIMPLIFICATION _______________________________...

July 19, 1996 TO: SEC RULES COMMITTEE No. 75-96 ACCOUNTING/TREASURERS POLICY SUBCOMMITTEE RE: DRAFT LETTER TO INCREASE THE ""NAME TEST"" IN GUIDE 1 TO FORM N-1A FROM 65% TO 80% ______________________________________________________________________________ At the June 19th SEC Rules...

July 12, 1996 TO: STATE LIAISON COMMITTEE No. 20-96 INVESTMENT ADVISERS COMMITTEE No. 17-96 SEC RULES COMMITTEE No. 74-96 UNIT INVESTMENT TRUST COMMITTEE No. 28-96 RE: MARK YOUR CALENDAR FOR ICI FUNCTIONS DURING THE NASAA FALL CONFERENCE IN SNOWBIRD, UTAH _____________________________...

July 12, 1996 TO: MEMBERS - ONE PER COMPLEX No. 57-96 OPERATIONS COMMITTEE No. 12-96 SEC RULES COMMITTEE No. 73-96 SUBCOMMITTEE ON ADVERTISING No. 20-96 RE: REGISTRATION OF INTERNET DOMAIN NAMES ______________________________________________________________________________ As part of...

1 See Memorandum to Closed-End Fund Members No. 25-95, SEC Rules Members No. 46-95 and Unit Investment Trust Members No. 36-95, dated July 20, 1995. July 10, 1996 TO: CLOSED-END FUND COMMITTEE No. 18-96 SEC RULES COMMITTEE No. 72-96 UNIT INVESTMENT TRUST COMMITTEE No. 27-96 RE: NASD...

July 8, 1996 TO: BOARD OF GOVERNORS No. 38-96 SEC RULES COMMITTEE No. 71-96 RE: FEDERAL RESERVE PROPOSAL TO PERMIT BANK HOLDING COMPANY PERSONNEL TO SERVE ON FUND BOARDS ______________________________________________________________________________ Section 32 of the Glass-Steagall Act...

July 3, 1996 TO: BANK INVESTMENT MANAGEMENT MEMBERS No. 16-96 SEC RULES COMMITTEE No. 70-96 SUBCOMMITTEE ON ADVERTISING No. 19-96 BANK MUTUAL FUND TASK FORCE RE: RECENT TESTIMONY OF FEDERAL BANK AND SECURITIES AGENCIES __________________________________________________________________...

July 3, 1996 TO: BANK INVESTMENT MANAGEMENT MEMBERS No. 15-96 SEC RULES COMMITTEE No. 69-96 SUBCOMMITTEE ON ADVERTISING No. 18-96 BANK MUTUAL FUND TASK FORCE RE: SEC/OCC SURVEY ON MUTUAL FUND DISCLOSURE ______________________________________________________________________________ The...

1 See Memorandum to SEC Rules Committee No. 40-96; Closed-End Fund Committee No. 13-96; Unit Investment Trust Committee No. 22-96; Investment Advisers Committee No. 9-96; Subcommittee On Advertising No. 7-96; Broker/Dealer Advisory Committee No. 8-96; Transfer Agent Advisory Committee...