1997 COMMENT LETTERS

12/30/97
Comment Letter re: FR 2004 Reports
12/24/97
Comment Letter re: MSRB Rule 1150
12/23/97
Proposed Punitive Damages Rule
12/19/97
Notice to Members 97-77
12/16/97
Draft of Proposed AU Section 9336
12/16/97
Application of Statement of Financial Accounting Standards No. 125
12/15/97
Comment Letter re: AICPA - FASB Statement No. 125
12/01/97
Notice to Members 97-79
11/10/97
Notice to Members 97-58
11/17/97
Comment Ltr re: FFIEC Proposed Supervisory Policy Statement
11/03/97
Amendments to NYSE Rule 382
10/21/97
Foreign to Foreign Payments
10/15/97
NASD Proposed Rule Change Relating to Non-Cash Compensation
10/15/97
Notice to Members 97-50
10/14/97
Notice to Members 97-48
10/14/97
Notice to Members 97-47
10/13/97
Revised Exposure Draft on Accounting for Derivative Financial Instruments
10/06/97
Order Audit Trail System Ad Hoc Committee
10/03/97
Comment Ltr re: Regulation of Exchanges
10/03/97
Concept Release on Oversight of Alternative Trading Systems
09/24/97
Proposed Amendments to the Bank Secrecy Act Regulations
09/23/97
Comment Letter re: Review of MSRB Underwriting Process
08/14/97
NASD Proposal to Expand Actual Size Pilot Program
08/13/97
SIA/PSA Proposal Regarding SEC Rule 15a-6
08/12/97
Comment Letter Opposing Proposed Amendments to NASD Conduct Rule 2210
08/11/97
Notice to Members 97-37
08/08/97
Matters Discussed at the July 15, 1997 FASAC Meeting
07/25/97
Notice to Members 97-30
07/16/97
Additional Comments on FASIT Regs dated 7/16/97
07/10/97
Arbitration of Employment Discrimination Claims
07/08/97
State Registered Investment Advisers and Prime Broker Arrangements
07/07/97
Comment Ltr re: ERISA
07/02/97
Notice To Members 97-29
07/02/97
Decimal-based Pricing System in the Securities Markets
06/19/97
Uniform Licensing Requirements for Brokers
06/19/97
Request for Exemption Regarding Rule 10b-13 Basket Trading
06/16/97
Comment Letter re: NASD Free-Riding and Withholding Interpretation
06/12/97
Additional Comments on Exposure Draft on Accounting for Derivative Financial Instruments
06/06/97
IInvestment Company Names
06/06/97
Proposed Rules to Revise Requirements for Mutual Fund Disclosure
06/04/97
Draft Policy Statement Concerning Sales Practices and Customer Suitability
06/03/97
Association Comment Letter re: NASD Conduct Rules 3010 and 3110
05/21/97
Proposed Revisions of Rules 144 and 145 and Regulation S
05/19/97
Release Regarding Operating Subsidiary Notice
05/13/97
Notice to Members 97-12 and 97-11 Regarding Proposed Rules 3121 and 2460
05/02/97
Release No. 34-38548; File No. SR-NASD-97-24
04/28/97
Letter to Senator Gramm Regarding FASB Treatment of Financial Derivatives
04/28/97
Letter to Senator Dodd Regarding FASB Treatment of Financial Derivatives
04/28/97
Mutual Fund Portability
04/25/97
Arbitration of Employment Discrimination Claims
04/24/97
Plain English Disclosure
04/16/97
Proposed Rules for Sales of Securities at Financial Institutions
04/11/97
Exposure Draft on Accounting for Derivative Financial Instruments
04/03/97
Foreign Exchange Class Exemption Proposal - Standing Instructions
04/02/97
Definition of "Prepared by or on Behalf of the Issuer"
03/31/97
Supplemental Comment Letter re: Rules 17a-3 and 17a-4
03/26/97
DTCC Return of Funds Policy
03/24/97
Plain English Comment Letter (3/24/97)
03/11/97
Arbitration of Employment Claims
03/11/97
SIA Letter to Conrad Burns, Chairman, Communications Subcommittee, Senate (Regarding Legislation to Relax Export Restrictions on Strong Encryption Technology)
03/05/97
Qualification Requirements for Transactions in Certain Securities
02/28/97
NASAA Comment Letter Regarding Investment Advisers Act of 1940
02/13/97
Proposed Changes to Export Regulations Governing Software with Encryption Capabilities
02/13/97
Comments on Securities Act Release 7356, Securities Exchange Act Release 37803
02/12/97
Rules Implementing Amendments to the Investment Company Act of 1940
02/07/97
PSA Comment Ltr Supporting Adoption of NASDR's Proposed Amendments to NASD Conduct Rules 3010 and 3110
02/07/97
Proposed Rules Governing Supervision, Review and Record Retention of Correspondence
02/07/97
Rules Implementing Amendments to the Investment Advisers Act of 1940
01/31/97
SIA/PSA Comment Letter on Revisions to Regulations G, T and U
01/31/97
Regulations G, T and U, Docket No. R-0944
01/30/97
Observations on Implementation of Changes Relating to SEC Order Handling Rules
01/22/97
Changes Relating to Implementation of SEC Order Handling Rules
01/22/97
Proposed Rule Change Concerning Eligibility Provisions in Rule 10304
01/13/97
Books and Records Requirements for Brokers and Dealers
01/10/97
Comment Letter re: FASIT Regulations

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