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13 SEC Docket 1 (1977-1978)

handle is hein.journals/secdoc13 and id is 1 raw text is: 5862-63 ......... 1 - 13914-41 ......... 17 Company Act - 20159-66 ......... 36 Trust Indenture Act - 482- 83 ......... 44 Investment Company Act 9916-21 ......... 45 Litigation - 8094-109 ........ 49 Staff Accounting Bulletin 16 ............ 56 This issue covers releases issued from 9/2/77 9/8/77 This listing does not affect the legal status of any document published in this issue. SEC DOCKET INDEX VOLUME FOUND IN DOCKET DATED I 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. Vl, 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 X Vol. XI, No. 9 2/8/77 XI Vol. XII, No. 12 7/19/77 SIGNIFICANT ITEMS ANNOUNCEMENTS 33-5862 Amendment to the Commissions Statement of Policy governing mutual fund sales. 33-5863 Adoption of amendments regard- ing disclosures by commercial and industrial companies of in- vestments in marketable securi- ties and other security invest- ments. 34-13914 Procedure to be followed by trans- fer agents registered with the Commission in withdrawing from registration. RULES The f,1{owitw rulem reLate to self-regulatory organi- zation rule p1.6osals aad/or adoptions. 34-13915 34-13929 34-13933 34-13939 34-13916 34-1393P 34-13934 34-13940 34-13917 34-13931 34-13935 34-13941 34-13925 34-13932 34-13937 SECURITIES ACT OF 1933 SECURITIES ACT OF 1933 Release No. 5862 / September 1, 1977 INVESTMENT COMPANY ACT OF 1940 Release No. 9916 / September 1, 1977 Sales Literature For Mutual Funds AGENCY: Securities and Exchange Commission ACTION: Amendment to Statement of Policy SUMMARY: The Commission amends its Statement of Policy governing mutual fund sales literature to allow certain additional charts and tables reflecting compound rates of total return and adopts an interpretive letter procedure under which the staff can express its opinion relative to the proposed use of charts and tables not included in the Statement. These actions are taken in order to update the Statement and give mutual funds more flexibility in the development of sales literature. The use of the new charts and tables should make available to investors more meaningful and comparable measures of mutual fund performance. The Commission is also requesting comments on certain proposed changes in the requirements relating to charts and tables currently authorized by the Statement. EFFECTIVE DATE OF AMENDMENT: Immediate- ly. Comments must be submitted on or before October 31, 1977. RELEASES IN THIS ISSUE PAGE Securities Act Securities Exchange Act Public Utility Holding

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