Closed-End Investment Company Content

[17014] January 28, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-04 SEC RULES COMMITTEE No. 10-04 SMALL FUNDS COMMITTEE No. 7-04 RE: SEC PROPOSES RULE AMENDMENTS TO ENHANCE INDEPENDENCE AND EFFECTIVENESS OF FUND BOARDS The Securities and Exchange Commission (SEC) has...

[17015] January 28, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-04 COMPLIANCE ADVISORY COMMITTEE No. 11-04 INVESTMENT ADVISERS COMMITTEE No. 2-04 SEC RULES COMMITTEE No. 11-04 SMALL FUNDS COMMITTEE No. 8-04 RE: SEC PROPOSES NEW INVESTMENT ADVISER CODE OF ETHICS REQUIREMENT...

[17002] January 23, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-04 COMPLIANCE ADVISORY COMMITTEE No. 10-04 SEC RULES COMMITTEE No. 9-04 SMALL FUNDS COMMITTEE No. 6-04 UNIT INVESTMENT TRUST COMMITTEE No. 5-04 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED REVISIONS TO RULE...

[16989] January 16, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-04 INVESTMENT ADVISERS COMMITTEE No. 1-04 SEC RULES COMMITTEE No. 8-04 UNIT INVESTMENT TRUST COMMITTEE No. 4-04 RE: SEC SEMI-ANNUAL REGULATORY AGENDA The Securities and Exchange Commission has published its...

[16969] January 14, 2004 TO: BOARD OF GOVERNORS No. 4-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 4-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-04 FEDERAL LEGISLATION MEMBERS No. 1-04 PUBLIC INFORMATION COMMITTEE No. 2-04 SEC RULES COMMITTEE No. 6-04 SMALL FUNDS COMMITTEE No. 4-04...

[16904] December 19, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 67-03 COMPLIANCE ADVISORY COMMITTEE No. 112-03 SEC RULES COMMITTEE No. 105-03 SMALL FUNDS COMMITTEE No. 35-03 UNIT INVESTMENT TRUST COMMITTEE No. 25-03 RE: SEC ADOPTS FUND AND ADVISER COMPLIANCE RULES AND SEEKS...

[16895] December 18, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 66-03 SEC RULES COMMITTEE No. 104-03 RE: DRAFT ICI COMMENT LETTER ON SEC MANAGER OF MANAGERS FUND RULE PROPOSAL As previously indicated, the SEC recently proposed new rule 15a-5 under the Investment Company Act...

[16868] December 10, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 65-03 DIRECTOR SERVICES COMMITTEE No. 23-03 SEC RULES COMMITTEE No. 101-03 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC PROPOSAL TO PERMIT INCLUSION OF SECURITY HOLDER NOMINEES FOR DIRECTOR IN COMPANY PROXY...

[16853] December 9, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 64-03 RE: NYSE PROPOSAL REGARDING CHANGES IN EXCHANGE FEES FOR CLOSED-END FUNDS; YOUR VIEWS REQUESTED BY DECEMBER 16TH The Securities and Exchange Commission has published for comment a New York Stock Exchange...

[16818] November 26, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 63-03 SEC RULES COMMITTEE No. 97-03 RE: INSTITUTE DRAFT COMMENT LETTER ON NYSE’S AND NASDAQ’S PROPOSED CORPORATE GOVERNANCE REQUIREMENTS; YOUR VIEWS REQUESTED BY DECEMBER 2ND As we previously informed you, the...