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37 SEC Docket 1 (1986-1987)

handle is hein.journals/secdoc37 and id is 1 raw text is: I qX SEC DOCKET Volume 37 No. 1 December 4, 1986 RELEASES IN THIS ISSUE PAGE Securities Exchange Act 23796A, 23 8 02-23 834 ...................... 2 Public Utility Holding Company Act 24239-24243 .................... 43 Investment Company Act 15413- 15423 .............................. 52 Litigation 11288- 11294 ............................................ 66 This listing covers releases issued from 11/14/86-11/20/86. This listing does not affect the legal status of any document published in this issue. SIGNIFICANT ITEMS RULES 34-23817 Solicitation of comments on proposed amendments to Commission rules governing (i) designation of securities qualified for trading in a national market system and (ii) transaction reporting [S7-737]. Com- ment period expires 12-31-86 .................................... OPINION 34-23827 OWEN V. KANE Where officer of broker-dealer was responsible for the unlawful sale of unregistered securities, held, in the public interest to suspend officer from association with any broker or dealer for a period of six months. The following releases relate to self-regulatory organization rule proposals and/or adoptions: , 34-23804 34-23811 34-23 820 34-23809 34-23818 34-23826 34-23810 34-23819 34-23835 34-23 835 COMMERCE, CLEARING HousE,INc., PUBL.ISHEPS of TOPICAL LAW RePoRFs 4025 W. PETERSON AVE., CHICAGO, ILLINOIS 60646

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