Closed-End Investment Company Content

[16669] October 15, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 52-03 COMPLIANCE ADVISORY COMMITTEE No. 86-03 SEC RULES COMMITTEE No. 83-03 RE: OCTOBER 29TH CONFERENCE CALL TO DISCUSS DRAFT COMPLIANCE PAPER RELATED TO THE SIDE-BY-SIDE MANAGEMENT OF REGISTERED FUNDS AND...

[16663] October 14, 2003 TO: SEC RULES COMMITTEE No. 81-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 51-03 UNIT INVESTMENT TRUST COMMITTEE No. 20-03 RE: SEC PROPOSAL RELATING TO FUND OF FUNDS INVESTMENTS The SEC has proposed three new rules under the Investment Company Act of 1940 (...

[16596] October 1, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 50-03 SEC RULES COMMITTEE No. 77-03 UNIT INVESTMENT TRUST COMMITTEE No. 18-03 RE: DRAFT ICI COMMENT LETTER ON NASD CASH COMPENSATION DISCLOSURE PROPOSAL; OCTOBER 9TH CONFERENCE CALL As previously indicated, NASD...

[16582] September 30, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 49-03 RE: NOTICE OF CLOSED-END INVESTMENT COMPANY COMMITTEE MEETING - NOVEMBER 5, 2003 A meeting of the Closed-End Investment Company Committee has been scheduled for Wednesday, November 5th at the offices of...

[16564] September 18, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 48-03 SEC RULES COMMITTEE No. 75-03 UNIT INVESTMENT TRUST COMMITTEE No. 17-03 RE: NASD CASH COMPENSATION DISCLOSURE PROPOSAL; SEPTEMBER 24TH CONFERENCE CALL NASD has issued proposed amendments to Rule 2830 that...

URGENT/ACTION REQUESTED [16503] September 5, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 47-03 SEC RULES COMMITTEE No. 71-03 RE: DRAFT ICI COMMENT LETTER ON SEC PROPOSAL TO REQUIRE DISCLOSURE RELATED TO DIRECTOR NOMINATIONS AND SHAREHOLDER COMMUNICATIONS As we previously...

[16369] July 30, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 29-03 BANK AND TRUST ADVISORY COMMITTEE No. 9-03 BROKER/DEALER ADVISORY COMMITTEE No. 24-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 45-03 OPERATIONS COMMITTEE No. 13-03 TAX COMMITTEE No. 46-03 TRANSFER AGENT ADVISORY...

[16261] July 2, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 26-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 42-03 SEC RULES COMMITTEE No. 63-03 RE: JULY 14 CONFERENCE CALL ON DRAFT MODEL AUDIT COMMITTEE CHARTER Attached is a draft model audit committee charter that the Institute...

[16252] June 27, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 25-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 41-03 SEC RULES COMMITTEE No. 61-03 SMALL FUNDS COMMITTEE No. 24-03 UNIT INVESTMENT TRUST MEMBERS No. 19-03 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 2-03 RE: PCAOB...

[16199] June 12, 2003 TO: SEC RULES COMMITTEE No. 57-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 40-03 INVESTMENT ADVISERS COMMITTEE No. 14-03 RE: DRAFT INSTITUTE LETTER ON NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST As we previously...