SEC Rules Content

December 20, 1995 TO: COMPLIANCE COMMITTEE No. 46-95 INVESTMENT ADVISERS COMMITTEE No. 49-95 SEC RULES COMMITTEE No. 130-95 RE: ADDRESS OF THE SEC'S DIRECTOR OF THE OFFICE OF COMPLIANCE INSPECTIONS AND EXAMINATIONS ______________________________________________________________________...

December 18, 1995 TO: CLOSED-END FUND COMMITTEE No. 62-95 INVESTMENT ADVISERS COMMITTEE No. 48-95 SEC RULES COMMITTEE No. 129-95 SMALL FUNDS COMMITTEE No. 22-95 UNIT INVESTMENT TRUST COMMITTEE No. 88-95 RE: PUBLICATION BY SEC OF LIST OF RULES AND FORMS SCHEDULED FOR REVIEW EVERY TEN...

December 15, 1995 TO: ACCOUNTING/TREASURERS COMMITTEE No. 57-95 BOARD OF GOVERNORS No. 79-95 FEDERAL LEGISLATION MEMBERS No. 26-95 MEMBERS - ONE PER COMPLEX No. 109-95 PUBLIC INFORMATION COMMITTEE No. 49-95 SEC RULES COMMITTEE No. 128-95 STATE LIAISON COMMITTEE No. 33-95 RE: INSTITUTE...

1 See Memorandum to SEC Rules Committee No. 119-95, State Securities Members No. 46-95, and Unit Investment Trust Members No. 58-95, dated November 10, 1995. December 13, 1995 TO: SEC RULES COMMITTEE No. 127-95 STATE SECURITIES MEMBERS No. 52-95 UNIT INVESTMENT TRUST MEMBERS No. 66-95...

December 6, 1995 TO: CLOSED-END FUND COMMITTEE No. 60-95 INVESTMENT ADVISERS COMMITTEE No. 47-95 SEC RULES COMMITTEE No. 126-95 UNIT INVESTMENT TRUST COMMITTEE No. 86-95 RE: SEC SEMI-ANNUAL REGULATORY AGENDA _____________________________________________________________________________...

November 28, 1995 TO: COMPLIANCE COMMITTEE No. 44-95 SEC RULES COMMITTEE No. 125-95 RE: PROPOSED COMPENDIUM OF NON-1940 ACT INVESTMENT RESTRICTIONS ______________________________________________________________________________ At the last meeting of the Compliance Committee, members...

1 See Memorandum to Accounting/Treasurers Committee No. 41-95, Closed-End Fund Committee No. 47-95, SEC Rules Committee No. 109-95, Subcommittee on Advertising No. 19-95, Unit Investment Trust Committee No. 74-95, Technology Advisors Roundtable, dated October 10, 1995. November 27...

November 20, 1995 TO: SEC RULES COMMITTEE No. 123-95 RE: SPECIAL MEETING SCHEDULED DURING 1995 SECURITIES LAW PROCEDURES CONFERENCE ______________________________________________________________________________ The Institute has arranged for the SEC Rules Committee to meet with...

November 15, 1995 TO: CLOSED-END FUND COMMITTEE No. 55-95 INVESTMENT ADVISERS COMMITTEE No. 45-95 SEC RULES COMMITTEE No. 121-95 UNIT INVESTMENT TRUST COMMITTEE No. 81-95 RE: INSTITUTE COMMENT LETTER ON PROPOSED AMENDMENTS TO RULE 17j-1 UNDER THE INVESTMENT COMPANY ACT _______________...

1 See Memorandum to Investment Advisers Committee No. 44-95 and SEC Rules Committee No. 116-95, dated November 2, 1995; Memorandum to Small Funds Committee No. 19-95, dated November 3, 1995. November 15, 1995 TO: INVESTMENT ADVISERS COMMITTEE No. 46-95 SEC RULES COMMITTEE No. 122-95...