SEC Rules Content

1 See Memorandum to SEC Rules Committee No. 21-96 (March 22, 1996). May 9, 1996 TO: SEC RULES COMMITTEE No. 37-96 RE: DRAFT COMMENT LETTER ON PROPOSED AMENDMENTS TO RULE 10f-3 ______________________________________________________________________________ Attached for your review is a...

May 8, 1996 TO: SEC RULES COMMITTEE No. 35-96 STATE SECURITIES MEMBERS No. 10-96 UNIT INVESTMENT TRUST COMMITTEE No. 18-96 RE: INSTITUTE COMMENT LETTER ON 1996 CONFERENCE ON FEDERAL-STATE SECURITIES REGULATION ___________________________________________________________________________...

1 See Memorandum to State Securities Members No. 14-95 and Unit Investment Trust Members No. 15-95, dated April 6, 1995. 2 See Memorandum to State Securities Members No. 32-95 and Unit Investment Trusts Members No. 34-95, dated June 27, 1995. May 8, 1996 TO: SEC RULES COMMITTEE No. 36...

May 8, 1996 TO: SEC RULES COMMITTEE No. 34-96 SMALL FUNDS COMMITTEE No. 6-96 STATE SECURITIES MEMBERS No. 9-96 UNIT INVESTMENT TRUST MEMBERS No. 11-96 RE: HAWAII AMENDS EXEMPTION FROM REGISTRATION ______________________________________________________________________________ Effective...

May 7, 1996 TO: SEC RULES COMMITTEE No. 32-96 RE: INSTITUTE LETTER ON PROPOSED TREASURY RULES GOVERNING SECURITIES HELD IN BOOK-ENTRY FORM ______________________________________________________________________________ The Treasury Department has proposed rules that will govern...

1 See Memorandum to Bank Investment Management Members No. 5-96, SEC Rules Committee No. 22-96, and Subcommittee on Advertising No. 4-96, dated March 26, 1996. May 7, 1996 TO: BANK INVESTMENT MANAGEMENT MEMBERS No. 7-96 SEC RULES COMMITTEE No. 33-96 SUBCOMMITTEE ON ADVERTISING No. 6...

May 6, 1996 TO: SEC RULES COMMITTEE No. 31-96 RE: NOTICE OF MEETING - JUNE 19, 1996 ______________________________________________________________________________ A meeting of the SEC Rules Committee has been scheduled for Wednesday, June 19, 1996 at the offices of the Investment...

May 3, 1996 TO: SEC RULES COMMITTEE No. 30-96 SMALL FUNDS COMMITTEE No. 5-96 STATE LIAISON COMMITTEE No. 12-96 UNIT INVESTMENT TRUST COMMITTEE No. 17-96 RE: LETTER TO NASAA TASK FORCE ON STATE REGISTRATION OF MUTUAL FUNDS _______________________________________________________________...

1 Exchange Act Release No. 34-37145 (April 26, 1996). May 1, 1996 TO: ACCOUNTING/TREASURERS COMMITTEE No. 14-96 SEC RULES COMMITTEE No. 29-96 EQUITY MARKETS TASK FORCE RE: NYSE PROPOSAL TO AMEND ""CIRCUIT BREAKER"" PROCEDURES ___________________________________________________________...

1 See Memorandum to SEC Rules Committee No. 5-96, State Securities Members No. 4-96, and Unit Investment Trusts Members No. 2-96 (January 19, 1996). April 26, 1996 TO: SEC RULES COMMITTEE No. 28-96 STATE LIAISON COMMITTEE No. 10-96 UNIT INVESTMENT TRUST COMMITTEE No. 14-96 RE: OHIO...