Small Funds Content

May 20, 1996 TO: SEC RULES MEMBERS No. 28-96 SMALL FUNDS COMMITTEE No. 8-96 STATE SECURITIES MEMBERS No. 13-96 UNIT INVESTMENT TRUST MEMBERS No. 16-96 RE: NASAA SIGNS LETTER OF INTENT TO SELL SRD TO OHIO COMMISSIONER OF SECURITIES; COMMISSIONER ANNOUNCES HIS RESIGNATION FROM THE STATE...

May 9, 1996 TO: SMALL FUNDS COMMITTEE No. 7-96 SMALL FUNDS MEMBERS No. 6-96 RE: Meeting Agenda - May 20, 1996 ______________________________________________________________________________ By now, I hope you have made arrangements to join us for the Small Funds Meeting, scheduled for...

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 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 _______________________________________________________________...

1Member fund groups with total assets less than $750 million (excluding money market funds). April 25, 1996 TO: SMALL FUNDS COMMITTEE No. 4-96 SMALL FUNDS MEMBERS No. 5-96 RE: SMALL FUNDS MEETING, MAY 20, 1996 - SECOND NOTICE ___________________________________________________________...

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 Member fund groups with total assets less than $750 million (excluding money market funds). March 8, 1996 TO: SMALL FUNDS COMMITTEE No. 2-96 SMALL FUNDS MEMBERS No. 2-96 RE: Notice of Meeting - May 20, 1996 ____________________________________________________________________________...

January 2, 1996 TO: SMALL FUNDS COMMITTEE No. 1-96 STATE LIAISON COMMITTEE No. 1-96 UNIT INVESTMENT TRUST COMMITTEE No. 1-96 RE: TEXAS PROPOSES RULE TO PERMIT OFFERS THROUGH THE INTERNET ______________________________________________________________________________ The Texas State...

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...

November 16, 1995 TO: COMPLIANCE COMMITTEE No. 43-95 DIRECT MARKETING COMMITTEE No. 52-95 HUMAN RESOURCES FORUM No. 12-95 MEMBERS - ONE PER COMPLEX No. 101-95 MEMBERS INTERESTED IN CONTINUING EDUCATION/TRAINING No. 2-95 OPERATIONS MEMBERS No. 47-95 SALES FORCE MARKETING COMMITTEE No...