SEC Rules Content

April 10, 1996 TO: INVESTMENT ADVISERS COMMITTEE No. 6-96 SEC RULES COMMITTEE No. 26-96 STATE LIAISON COMMITTEE No. 9-96 UNIT INVESTMENT TRUST COMMITTEE No. 13-96 RE: COMMENTS REQUESTED FOR 1996 CONFERENCE ON UNIFORMITY OF FEDERAL-STATE SECURITIES REGULATION AGENDA ___________________...

April 10, 1996 TO: SEC RULES COMMITTEE No. 27-96 RE: CANCELLATION OF APRIL 16 MEETING ON AMENDMENTS TO RULE 10f-3 ______________________________________________________________________________ Due to insufficient response, the April 16th meeting on the proposed amendments to Rule 10f...

April 9, 1996 TO: BOARD OF GOVERNORS No. 14-96 CLOSED-END FUND COMMITTEE No. 11-96 DIRECT MARKETING COMMITTEE No. 9-96 MARKETING POLICY COMMITTEE No. 13-96 PUBLIC INFORMATION COMMITTEE No. 11-96 RESEARCH COMMITTEE No. 17-96 SALES FORCE MARKETING COMMITTEE No. 11-96 SEC RULES COMMITTEE...

1 See Memorandum to SEC Rules Members No. 53-95, dated August 1, 1995. April 1, 1996 TO: SEC RULES COMMITTEE No. 24-96 RE: INSTITUTE PROPOSAL FOR SEC RULEMAKING TO AUTHORIZE USE OF THE PROFILE PROSPECTUS ______________________________________________________________________________ As...

1 See Memorandum to Investment Advisers Committee No. 46-95, SEC Rules Committee No. 122-95, Small Funds Committee No. 20-95, dated November 15, 1995. 2 Securities Exchange Act Release No. 36973, 61 Fed. Reg. 11655 (March 21, 1996). March 27, 1996 TO: INVESTMENT ADVISERS COMMITTEE No...

1 Securities Exchange Act Release No. 3698, 61 Fed. Reg. 11913 (March 22, 1996). 2 See Memorandum to Bank Investment Management Members No. 10-95, SEC Rules Committee No. 28-95, and Subcommittee on Advertising No. 3-95, dated February 23, 1995. March 26, 1996 TO: BANK INVESTMENT...

1 See Memorandum to SEC Rules Committee No. 83-95, dated July 20, 1995. As part of a package of proposals to improve investment company regulation, the Institute recommended the adoption of amendments to Rule 10f-3 to permit purchases of foreign and Rule 144A securities and to...

1 See Memorandum to Investment Advisers Committee No. 50-95, Investment Issues Committee No. 11-95, Money Market Funds Ad Hoc Committee No. 15-95, and SEC Rules Committee No. 133- 95, dated December 22, 1995. March 19, 1996 TO: INVESTMENT ADVISERS COMMITTEE No. 4-96 INVESTMENT ISSUES...

March 19, 1996 TO: COMPLIANCE COMMITTEE No. 4-96 SEC RULES COMMITTEE No. 19-96 RULE 17g-1 TASK FORCE RE: INSTITUTE’S PROPOSAL TO AMEND RULE 17g-1 ______________________________________________________________________________ Attached is the Institute
s proposal to amend the fidelity...

1 See Memorandum to SEC Rules Committee No. 7-96, dated January 25, 1996; Memorandum to Accounting/Treasurers Committee No. 5-96, dated January 26, 1996. March 11, 1996 TO: ACCOUNTING/TREASURERS COMMITTEE No. 12-96 SEC RULES COMMITTEE No. 18-96 TECHNOLOGY ADVISORS ROUNDTABLE RE...