Closed-End Investment Company Content

[16165] June 5, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 22-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 38-03 COMPLIANCE ADVISORY COMMITTEE No. 43-03 INVESTMENT ADVISERS COMMITTEE No. 12-03 OPERATIONS COMMITTEE No. 9-03 SEC RULES COMMITTEE No. 54-03 SMALL FUNDS COMMITTEE No. 21...

URGENT/ACTION REQUESTED [16159] June 4, 2003 TO: SEC RULES COMMITTEE No. 53-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 37-03 RE: VIEWS REQUESTED ON DRAFT LETTER TO SEC REGARDING REVIEW OF PROXY PROCESS The Securities and Exchange Commission recently announced that it directed the...

[16143] June 2, 2003 TO: SEC RULES COMMITTEE No. 51-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-03 INVESTMENT ADVISERS COMMITTEE No. 11-03 RE: NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST The Securities and Exchange Commission has...

[16103] May 21, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 19-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-03 COMPLIANCE ADVISORY COMMITTEE No. 37-03 SEC RULES COMMITTEE No. 47-03 SMALL FUNDS COMMITTEE No. 17-03 RE: ICI COMMENT LETTER ON SEC PROPOSAL REGARDING CERTIFICATIONS...

[16091] May 20, 2003 TO: SEC RULES COMMITTEE No. 46-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-03 RE: VIEWS ON DRAFT SAMPLE CODE OF ETHICS REQUESTED BY MAY 27, 2003 Attached to this memorandum is a draft sample code of ethics that has been prepared to assist Investment Company...

[16020] May 6, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-03 COMPLIANCE ADVISORY COMMITTEE No. 34-03 SEC RULES COMMITTEE No. 43-03 SMALL FUNDS COMMITTEE No. 16-03 RE: DRAFT ICI COMMENT LETTER ON SEC PROPOSAL REGARDING...

[15967] April 29, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 31-03 SEC RULES COMMITTEE No. 41-03 RE: ICI COMMENT LETTER ON PROPOSED AMENDMENTS TO CFTC RULE 4.5 As we previously advised you, in March, the Commodity Futures Trading Commission proposed for comment revisions to...

ACTION REQUESTED [15946] April 25, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-03 RE: DRAFT ICI COMMENT LETTER ON NYSE PROPOSAL RELATING TO CORPORATE GOVERNANCE PRACTICES As we previously informed you, the Securities and Exchange Commission has published for comment...

[15933] April 23, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 29-03 SEC RULES COMMITTEE No. 38-03 RE: DRAFT ICI LETTER ON PROPOSED AMENDMENTS TO CFTC RULE 4.5 TO ACCOMMODATE TRADING OF STOCK FUTURES BY INVESTMENT COMPANIES As we previously advised you, in March, the Commodity...

[15903] April 16, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 16-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 26-03 SEC RULES COMMITTEE No. 33-03 SMALL FUNDS COMMITTEE No. 14-03 RE: ICI SUPPLEMENTAL COMMENT LETTER ON SEC SUMMARY PORTFOLIO SCHEDULE PROPOSAL Earlier this year, the...