Closed-End Investment Company Content

[14650] April 18, 2002 TO: SEC RULES COMMITTEE No. 31-02 COMPLIANCE ADVISORY COMMITTEE No. 35-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 16-02 RE: INSTITUTE LETTER ON NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST The Institute has filed a...

[14628] April 10, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-02 RE: REMINDER - NOTICE OF MEETING - APRIL 23, 2002 As we previously informed you, a meeting of the Closed-End Investment Company Committee has been scheduled for Tuesday, April 23, 2002 at the offices of the...

[14604] April 8, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-02 SEC RULES COMMITTEE No. 29-02 RE: DRAFT ICI REGULATORY REFORM PROPOSALS In connection with plans to undertake a comprehensive review of the federal securities laws, SEC Chairman Harvey Pitt has invited the...

[14602] April 3, 2002 TO: SEC RULES COMMITTEE No. 26-02 COMPLIANCE ADVISORY COMMITTEE No. 29-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-02 RE: EXTENSION OF COMMENT PERIOD ON NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST As we previously...

[14584] March 27, 2002 TO: SEC RULES COMMITTEE No. 25-02 COMPLIANCE ADVISORY COMMITTEE No. 28-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-02 RE: DRAFT INSTITUTE LETTER ON NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST As we previously...

[14545] March 18, 2002 TO: SEC RULES COMMITTEE No. 21-02 COMPLIANCE ADVISORY COMMITTEE No. 22-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-02 RE: NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST The Securities and Exchange Commission has...

[14547] March 18, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-02 COMPLIANCE ADVISORY COMMITTEE No. 23-02 MONEY LAUNDERING RULES WORKING GROUP No. 14-02 SEC RULES COMMITTEE No. 22-02 SMALL FUNDS COMMITTEE No. 2-02 TRANSFER AGENT...

[14462] February 14, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 7-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-02 SEC RULES COMMITTEE No. 17-02 UNIT INVESTMENT TRUST COMMITTEE No. 8-02 RE: ICI FILES COMMENT LETTER WITH SEC ON PROPOSED AMENDMENTS TO NASDR’S RULES...

[14429] February 5, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-02 COMPLIANCE ADVISORY COMMITTEE No. 12-02 SEC RULES COMMITTEE No. 15-02 TRANSFER AGENT ADVISORY COMMITTEE No. 9-02 UNIT INVESTMENT TRUST COMMITTEE No. 6-02 RE: INSTITUTE COMMENT LETTER ON SEC RULE AMENDMENTS...

[14425] February 4, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-02 COMPLIANCE ADVISORY COMMITTEE No. 10-02 SEC RULES COMMITTEE No. 13-02 SMALL FUNDS COMMITTEE No. 1-02 RE: NASDR SOLICITING INFORMATION TO PREPARE COST-BENEFIT ANALYSIS OF IMPACT OF MODERNIZING CERTAIN OF...