Closed-End Investment Company Content

[15302] October 25, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 41-02 RE: DRAFT AGENDA FOR COMMITTEE MEETING ON NOVEMBER 6TH As we previously informed you,1 the next meeting of the Closed-End Investment Company Committee is scheduled for Wednesday, November 6th. The meeting...

URGENT/ACTION REQUESTED [15238] October 4, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 46-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 39-02 COMPLIANCE ADVISORY COMMITTEE No. 83-02 SEC RULES COMMITTEE No. 80-02 UNIT INVESTMENT TRUST COMMITTEE No. 23-02 RE: ICI DRAFT COMMENT LETTERS...

[15208] September 25, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 38-02 RE: NOTICE OF MEETING - NOVEMBER 6, 2002 A meeting of the Closed-End Investment Company Committee has been scheduled for Wednesday, November 6th at the offices of the Investment Company Institute, 1401 H...

[15205] September 25, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 37-02 RE: INSTITUTE LETTER TO THE SEC WITH RESPECT TO CODES OF ETHICS AND FINANCIAL EXPERTS The recently-enacted Sarbanes-Oxley Act of 2002 contains several provisions that must be implemented through SEC...

[15168] September 13, 2002 TO: SEC RULES COMMITTEE No. 76-02 COMPLIANCE ADVISORY COMMITTEE No. 76-02 INVESTMENT ADVISERS COMMITTEE No. 19-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-02 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED SEC REGULATION RELATING TO ANALYST...

[15097] September 4, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-02 COMPLIANCE ADVISORY COMMITTEE No. 72-02 SEC RULES COMMITTEE No. 69-02 RE: INSTITUTE FILES SUPPLEMENTAL COMMENT LETTER ON PROPOSED AMENDMENTS TO RULE 17f-4 As we previously informed you, the Securities and...

[15061] August 22, 2002 TO: SEC RULES COMMITTEE No. 67-02 COMPLIANCE ADVISORY COMMITTEE No. 63-02 INVESTMENT ADVISERS COMMITTEE No. 16-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-02 RE: PROPOSED SEC REGULATION RELATING TO ANALYST CERTIFICATION The Securities and Exchange...

URGENT/ACTION REQUESTED [15023] August 12, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 40-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-02 COMPLIANCE ADVISORY COMMITTEE No. 59-02 SEC RULES COMMITTEE No. 64-02 UNIT INVESTMENT TRUST COMMITTEE No. 21-02 RE: ICI DRAFT COMMENT LETTER...

[14983] August 2, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 37-02 BANK AND TRUST ADVISORY COMMITTEE No. 7-02 BROKER/DEALER ADVISORY COMMITTEE No. 25-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 31-02 OPERATIONS COMMITTEE No. 11-02 TAX COMMITTEE No. 23-02 TRANSFER AGENT ADVISORY...

[14963] July 26, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-02 RE: NYSE CHANGE RELATING TO CLOSED-END FUND LISTING ELIGIBILITY CRITERIA AND ALLOCATION POLICIES The Securities and Exchange Commission approved, on a permanent basis, a proposed rule change filed by the New...