SEC Rules Content

May 29, 1996 TO: BOARD OF GOVERNORS No. 25-96 FEDERAL LEGISLATION MEMBERS No. 5-96 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 14-96 INVESTMENT ADVISER MEMBERS No. 16-96 MEMBERS - ONE PER COMPLEX No. 42-96 PUBLIC INFORMATION COMMITTEE No. 21-96 SEC RULES COMMITTEE No. 47-96 STATE LIAISON...

1 See Memorandum to Accounting/Treasurers Committee No. 14-96, SEC Rules Committee No. 29-96, Equity Markets Task Force, dated May 1, 1996. May 23, 1996 TO: ACCOUNTING/TREASURERS COMMITTEE No. 22-96 SEC RULES COMMITTEE No. 46-96 EQUITY MARKETS TASK FORCE RE: INSTITUTE COMMENT LETTER...

May 21, 1996 TO: BROKER/DEALER ASSOCIATE MEMBERS No. 9-96 DIRECT MARKETING COMMITTEE No. 11-96 INDUSTRY STATISTICS COMMITTEE No. 14-96 INTERNATIONAL COMMITTEE No. 16-96 INVESTMENT ADVISERS COMMITTEE No. 10-96 MARKETING POLICY COMMITTEE No. 15-96 MEMBERS - ONE PER COMPLEX No. 36-96...

May 16, 1996 TO: ACCOUNTING/TREASURERS COMMITTEE No. 20-96 SEC RULES COMMITTEE No. 44-96 RE: AICPA INVESTMENT COMPANIES COMMITTEE LETTER TO SEC RECOMMENDING REVISIONS TO FINANCIAL REPORTING REQUIREMENTS ______________________________________________________________________________...

1 This memorandum was included in the materials for the 1990 ICI Securities Law Procedures Conference. May 15, 1996 TO: ACCOUNTING/TREASURERS COMMITTEE No. 19-96 COMPLIANCE COMMITTEE No. 12-96 MEMBERS - ONE PER COMPLEX No. 35-96 SEC RULES COMMITTEE No. 43-96 TRANSFER AGENT ADVISORY...

1 See Memorandum to Closed-End Fund Members No. 10-96, SEC Rules Members No. 24-96 and Unit Investment Trust Members No. 14-96, dated May 13, 1996. 2 Some non-equity securities already are eligible for "good faith" loan value under Regulation T. In addition to "exempted securities"...

1 See Memorandum to Board of Governors No. 10-96, Federal Legislation Members No. 1-96, Members-One Per Complex No. 20-96, Public Information Committee No. 8-96, SEC Rules Committee No. 17-96, and State Liaison Committee No. 6-96, dated March 8, 1996. May 15, 1996 TO: BOARD OF...

May 14, 1996 TO: CLOSED-END FUND COMMITTEE No. 12-96 INVESTMENT ADVISERS COMMITTEE No. 8-96 SEC RULES COMMITTEE No. 39-96 UNIT INVESTMENT TRUST COMMITTEE No. 21-96 RE: SEC SEMI-ANNUAL REGULATORY AGENDA ______________________________________________________________________________ The...

1 Release No. IC-21945; IA-1562 (May 9, 1996). 2 See Memorandum to Accounting/Treasurers Committee No. 47-95, Closed-End Fund Committee No. 34-95, SEC Rules Committee No. 73-95, Unit Investment Trust Members No. 52-95, dated October 10, 1995. 3 Release No. IC-21946 (May 9, 1996). Both...

1 See Memorandum to SEC Rules Committee No. 28-96, State Liaison Committee No. 10-96, and Unit Investment Trust Committee No. 14-96, dated April 26, 1996. May 14, 1996 TO: SEC RULES COMMITTEE No. 38-96 STATE LIAISON COMMITTEE No. 13-96 UNIT INVESTMENT TRUST COMMITTEE No. 20-96 RE...