SEC Rules Content

1 See Memorandum to Board of Governors No 31-96, Federal Legislation Members No. 9-96, Members -One Per Complex No. 51-96, Public Information Committee No. 26-96, SEC Rules Committee No. 63-96, and State Liaison Committee No. 18-96, dated June 19, 1996. June 28, 1996 TO: BOARD OF...

* See Memorandum to Investment Advisers Committee No. 12-96, SEC Rules Committee No. 50-96, dated May 30, 1996. June 26, 1996 TO: INVESTMENT ADVISERS COMMITTEE No. 15-96 SEC RULES COMMITTEE No. 66-96 RE: INSTITUTE COMMENT LETTER ON SEC PROPOSAL TO ELIMINATE CERTAIN USERS FEES ________...

June 25, 1996 TO: SEC RULES COMMITTEE No. 65-96 RE: INVITATION TO PARTICIPATE IN DEVELOPMENT OF PROCEDURES CONCERNING CERTAIN FUND PURCHASES ______________________________________________________________________________ As requested by the Bank Mutual Fund Task Force, the Institute is...

1 See Memorandum to Investment Advisers Committee No. 11-96, SEC Rules Committee No. 49-96 and Small Funds Committee No. 9-96, dated May 29, 1996. June 21, 1996 TO: INVESTMENT ADVISERS COMMITTEE No. 14-96 SEC RULES COMMITTEE No. 64-96 SMALL FUNDS COMMITTEE No. 13-96 RE: INSTITUTE...

June 19, 1996 TO: BOARD OF GOVERNORS No. 31-96 FEDERAL LEGISLATION MEMBERS No. 9-96 MEMBERS - ONE PER COMPLEX No. 51-96 PUBLIC INFORMATION COMMITTEE No. 26-96 SEC RULES COMMITTEE No. 63-96 STATE LIAISON COMMITTEE No. 18-96 RE: HOUSE OF REPRESENTATIVES AND SENATE COMMITTEE APPROVE...

1 See Memorandum to SEC Rule Committee No. 34-96, Small Funds Committee No. 6-96, State Securities Members No. 9-96, and Unit Investment Trust Members No. 11-96, dated May 8, 1996. June 18, 1996 TO: SEC RULES COMMITTEE No. 62-96 SMALL FUNDS COMMITTEE No. 11-96 STATE SECURITIES MEMBERS...

1 The staff has taken the position that funds may "household" shareholder reports required under Section 30(d) of the Investment Company Act and Rule 30d-1 thereunder. See Oppenheimer Funds (pub. avail. July 20, 1994); Scudder Group of Funds (pub. avail. June 19, 1990). 2 In the no...

June 11, 1996 TO: CLOSED-END FUND COMMITTEE No. 16-96 SEC RULES COMMITTEE No. 57-96 RE: SEC STAFF POSITION REGARDING SHAREHOLDER PROPOSAL TO CONVERT TO AN INTERVAL FUND ______________________________________________________________________________ The Division of Investment Management...

June 11, 1996 TO: SEC RULES COMMITTEE No. 59-96 ABANDONED PROPERTY TASK FORCE RE: REVISED UNIFORM UNCLAIMED PROPERTY ACT ______________________________________________________________________________ The National Conference of Commissioners on Uniform State Laws has approved and...

1 See Memorandum to Compliance Committee No. 9-96, Operations Committee No. 7-96, SEC Rules Members No. 18-96 and Transfer Agent Advisory Committee No. 20-96, dated April 16, 1996. June 11, 1996 TO: COMPLIANCE COMMITTEE No. 14-96 OPERATIONS COMMITTEE No. 9-96 SEC RULES COMMITTEE No...