About | HeinOnline Law Journal Library | HeinOnline Law Journal Library | HeinOnline
LOG IN
LOG IN

11 SEC Docket 1043 (1976-1977)

handle is hein.journals/secdoc11 and id is 1 raw text is: VOLUME 11, NO. 1 DECEMBER 14,1976 We do eXEI A WEEKLY COMPILATION OF RELEASES FROM THE SECURITIES AND EXCHANGE COMMISO 5771-77 ............ 1044 - 13009-36 ............ 1054 19776-84 9541-52 554-57 7665-81 ............ 1082 ............ 1089 .......... 1106 ............ 1108 This issue covers releases issued from 11/26/76-12/2/76. This listing does not affect the legal status of any docu- ment published in this issue. SEC DOCKET INDEX VOLUME FOUND IN DOCKET DATED Vol. V, No. 15 12/3/74 II Vol. V, No. 16 12/10/74 III Vol. VI, No. 3 1/8/75 IV Vol. VI, No. 15 4/22/75 V Vol. VI, No. 20 5/28/75 VI Vol. VII, No. 8 7/22/75 VII Vol. VIII, No. 15 1/28/76 VIII Vol. IX, No. 11 5/18/76 IX Vol. X, No. 11 10/5/76 SIGNIFICANT ITEMS ANNOUNCE- MENTS 34-13017 3413036 Notice of Monthly Publication of a List of Significant Letters by the Division of Market Reg- ulation and the Division of In- vestment Management ...... Transmission to Congress of the Final Report of the Street Name Study . ............. 1060 1081 RULES The followng releases relate to self-regulatory organiza-, tion rule proposals and/or adoptions 34-13009 34-13016 34-13010 34-13026 33-5772 33-5776 5777 3413019 34-13029 PROPOSED RULEMAKING TO REQUIRE INVESTMENT COMPANIES REGISTERED UNDER THE 1940 ACT, CERTAIN INVESTMENT AD- VISERS REGISTERED UN- DER THE INVESTMENT AD- -VISERS ACT AND SOME OTHER TYPES OF AC- COUNTS TO MAKE DISCLO- SURES TO INVESTORS ABOUT BROKERAGE PLACEMENT PRACTICES AND POLICIES, INCLUDING THAT USE OF BROKERAGE COMMISSIONS TO PUR- CHASE RESEARCH SERV- ICES (File No. S7-660-Com- ment Period Expires: January 13, 1977) .................. WITHDRAWAL OF PRO- POSED AMENDMENTS TO FORMS 10-K AND 10-Q PUB- LISHED FOR COMMENT IN SECURITIES ACT RELEASE NO. 5715 AND ADOPTION OF A MODIFIED VERSION OF THE PROPOSAL IN THE FORM OF AMENDMENTS TO THE INSTRUCTIONS TO FORMS S-7 UNDER THE SE- CURITIES ACT OF 1933 AND FORMS 10-K AND 10-Q UN- DER THE SECURITIES ACT O F 1933 ................... PROPOSED AMENDMENTS TO RULE 15c3-1 (UNIFORM NET CAPITAL RULE) ....... METHOD FOR COMPLI- ANCE WITH SECTION 206(3) OF THE INVESTMENT AD- VISERS ACT OF 1940 WITH RESPECT TO CERTAIN 1044 1051 1061 SEC DOCKET/1043 RELEASES IN THIS ISSUE PAGE Securities Act Securities Exchange Act Public Utility Holding Company Act Investment Company Act Investment Advisers Act Litigation

What Is HeinOnline?

HeinOnline is a subscription-based resource containing thousands of academic and legal journals from inception; complete coverage of government documents such as U.S. Statutes at Large, U.S. Code, Federal Register, Code of Federal Regulations, U.S. Reports, and much more. Documents are image-based, fully searchable PDFs with the authority of print combined with the accessibility of a user-friendly and powerful database. For more information, request a quote or trial for your organization below.



Short-term subscription options include 24 hours, 48 hours, or 1 week to HeinOnline.

Purchase Access

Contact us for annual subscription options:

Contact Us

Already a HeinOnline Subscriber?

Log In

profiles profiles most