Closed-End Investment Company Content

[14422] February 1, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 5-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-02 SEC RULES COMMITTEE No. 12-02 UNIT INVESTMENT TRUST COMMITTEE No. 5-02 RE: ICI DRAFT COMMENT LETTER ON AMENDMENTS PROPOSED TO NASDR’S RULES RELATING TO...

[14375] January 18, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-02 SEC RULES COMMITTEE No. 7-02 RE: INSTITUTE COMMENT LETTER ON SEC PROPOSAL TO AMEND RULE 17a-8 UNDER THE INVESTMENT COMPANY ACT OF 1940 The Institute has filed a comment letter with the Securities and...

[14366] January 16, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-02 COMPLIANCE ADVISORY COMMITTEE No. 5-02 SEC RULES COMMITTEE No. 6-02 TRANSFER AGENT ADVISORY COMMITTEE No. 5-02 UNIT INVESTMENT TRUST COMMITTEE No. 3-02 RE: INSTITUTE DRAFT COMMENT LETTER ON PROPOSED...

[14359] January 15, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-02 SEC RULES COMMITTEE No. 4-02 UNIT INVESTMENT TRUST COMMITTEE No. 2-02 RE: INSTITUTE COMMENT LETTER ON SEC CONCEPT RELEASE ON ACTIVELY MANAGED EXCHANGE - TRADED FUNDS As we previously advised you, in November...

[14306] January 7, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-02 RE: 2002 CLOSED-END INVESTMENT COMPANY COMMITTEE MEETINGS The 2002 meetings of the Closed-End Investment Company Committee have been scheduled for Tuesday, April 23 and Wednesday, November 6 at the offices of...

[14297] January 4, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 1-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-02 SEC RULES COMMITTEE No. 1-02 UNIT INVESTMENT TRUST COMMITTEE No. 1-02 RE: SEC REQUESTS COMMENT ON NASDR’S PROPOSED AMENDMENTS TO NASD RULES GOVERNING...

[14285] December 31, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 26-01 INVESTMENT ADVISERS COMMITTEE No. 28-01 SEC RULES COMMITTEE No. 100-01 UNIT INVESTMENT TRUST COMMITTEE No. 29-01 RE: SEC SEMI-ANNUAL REGULATORY AGENDA The Securities and Exchange Commission has published...

[14274] December 21, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 25-01 SEC RULES COMMITTEE No. 99-01 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC PROPOSED AMENDMENTS TO RULE 17a-8 UNDER THE INVESTMENT COMPANY ACT As we previously informed you, the Securities and Exchange...

[14273] December 21, 2001 TO: SEC RULES COMMITTEE No. 98-01 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-01 UNIT INVESTMENT TRUST COMMITTEE No. 28-01 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC CONCEPT RELEASE ON ACTIVELY MANAGED EXCHANGE TRADED FUNDS As we previously advised you...

[14188] November 30, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-01 RE: POSSIBLE SUBMISSION OF REGULATORY PROPOSALS TO SEC In connection with plans to undertake a review of the federal securities laws, SEC Chairman Pitt has invited the industry to make recommendations for...