SEC Rules Content

    [22139]   January 22, 2008 TO: INTERNATIONAL COMMITTEE No. 5-08 SEC RULES COMMITTEE No. 8-08     RE: CONFERENCE CALL - DRAFT COMMENT LETTER ON CESR MUTUAL FUND DISCLOSURE CONSULTATION   Last October, the Committee of European Securities Regulators (CESR) published a consultation...

    [22137]   January 18, 2008 TO: VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 3-08 SEC RULES COMMITTEE No. 7-08     RE: ICI DRAFT COMMENT LETTER ON FINRA PROPOSAL RELATING TO DEFERRED VARIABLE ANNUITIES; YOUR VIEWS REQUESTED BY JANUARY 23   The Institute has prepared the...

    [22135]   January 18, 2008 TO: INTERNATIONAL COMMITTEE No. 4-08 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 1-08 SEC RULES COMMITTEE No. 6-08     RE: ICI COMMENT LETTER - EUROPEAN COMMISSION’S CALL FOR EVIDENCE ON “SUBSTITUTE” RETAIL INVESTMENT PRODUCTS   Last October, the...

    [22130]   January 16, 2008 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 2-08 INTERNATIONAL COMMITTEE No. 3-08 INVESTMENT ADVISERS COMMITTEE No. 1-08 SEC RULES COMMITTEE No. 5-08     RE: IOSCO ISSUES FINAL REPORT ON SOFT COMMISSION ARRANGEMENTS FOR COLLECTIVE INVESTMENT SCHEMES    ...

    [22124]   January 15, 2008 TO: INTERNATIONAL COMMITTEE No. 2-08 SEC RULES COMMITTEE No. 4-08     RE: DRAFT COMMENT LETTER - EUROPEAN COMMISSION’S CALL FOR EVIDENCE ON “SUBSTITUTE” RETAIL INVESTMENT PRODUCTS   Last October, the European Commission published a call for evidence...

    [22120]   January 14, 2008 TO: SEC RULES COMMITTEE No. 3-08 SMALL FUNDS COMMITTEE No. 2-08 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 2-08 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 2-08     RE: ICI DRAFT COMMENT LETTER ON FINRA PROPOSAL TO MODIFY PRINCIPAL APPROVAL...

    [22091]   January 10, 2008 TO: SEC RULES COMMITTEE No. 2-08     RE: NOTICE OF SEC RULES COMMITTEE MEETING AND LOS ANGELES AND CHICAGO VIDEOCONFERENCE OPTIONS - FEBRUARY 7, 2008   A meeting of the SEC Rules Committee has been scheduled for Thursday, February 7th at the offices of...

    [22087]   January 2, 2008 TO: SEC RULES COMMITTEE No. 1-08 SMALL FUNDS COMMITTEE No. 1-08 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 1-08 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 1-08     RE: SEC PUBLISHES FOR COMMENT FINRA PROPOSAL TO MODIFY PRINCIPAL APPROVAL...

    [22030]   December 10, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 39-07 INVESTMENT ADVISERS COMMITTEE No. 20-07 SEC RULES COMMITTEE No. 93-07 SMALL FUNDS COMMITTEE No. 40-07     RE: DRAFT INSTITUTE COMMENT LETTER ON SEC PROPOSAL TO MANDATE EDGAR FILINGS OF EXEMPTIVE...

  [22017]   December 5, 2007 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 85-07 SEC RULES COMMITTEE No. 92-07 OPERATIONS COMMITTEE No. 33-07 RE: NEVADA LAW REQUIRING REGISTRATION OF TRANSFER AGENTS LIMITED IN APPLICATION   At recent ICI Committee meetings, I discussed a recent amendment...