SEC Rules Content

    [21266]   June 18, 2007 TO: SEC RULES COMMITTEE No. 51-07 SMALL FUNDS COMMITTEE No. 22-07 RE: CONFERENCE CALL SCHEDULED FOR JUNE 22 TO DISCUSS INSTITUTE COMMENTS ON RULE 12B-1   As we previously informed you, [1] the Securities and Exchange Commission will hold a roundtable on...

    [21247]   June 13, 2007 TO: INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 13-07 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 12-07 SEC RULES COMMITTEE No. 50-07 RE: DRAFT COMMENT LETTER ON SEC PROPOSAL TO AMEND ITS FINANCIAL RESPONSIBILITY RULES FOR BROKER-DEALERS   As we...

  [21227]   June 11, 2007 TO: ACCOUNTING/TREASURERS COMMITTEE No. 12-07 SEC RULES COMMITTEE No. 49-07 RE: ICI TO DEVELOP PROPOSAL TO MODERNIZE CERTAIN CUSTODY RULES UNDER THE INVESTMENT COMPANY ACT; CONFERENCE CALL ON JUNE 26   As requested by the staff of the Securities and Exchange...

  [21220]   June 7, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19-07 COMPLIANCE ADVISORY COMMITTEE No. 10-07 EQUITY MARKETS ADVISORY COMMITTEE No. 31-07 INVESTMENT ADVISERS COMMITTEE No. 12-07 SEC RULES COMMITTEE No. 48-07 SMALL FUNDS COMMITTEE No. 20-07 RE: DRAFT COMMENT...

    [21191]   June 4, 2007 TO: SEC RULES COMMITTEE No. 47-07 RE: MEETING DETAILS AND DRAFT AGENDA FOR JUNE 21 SEC RULES COMMITTEE MEETING   As we indicated in a recent e-mail message, due to an unexpected conflict with an SEC roundtable on Rule 12b-1, we have rescheduled the SEC Rules...

  URGENT/ACTION REQUESTED [21198]   May 31, 2007 TO: ACCOUNTING/TREASURERS COMMITTEE No. 10-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-07 SEC RULES COMMITTEE No. 46-07 SMALL FUNDS COMMITTEE No. 18-07 TAX COMMITTEE No. 25-07     RE: INSTITUTE'S REVISED DRAFT PROPOSAL TO AMEND...

    [21148]   May 11, 2007 TO: INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 11-07 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 9-07 SEC RULES COMMITTEE No. 45-07     RE: DRAFT COMMENT LETTER ON SEC PROPOSAL TO AMEND ITS FINANCIAL RESPONSIBILITY RULES FOR BROKER-DEALERS   As we...

    [21124]   May 9, 2007 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 27-07 FIXED-INCOME ADVISORY COMMITTEE No. 10-07 SEC RULES COMMITTEE No. 43-07     RE: CONFERENCE CALL SCHEDULED TO DISCUSS NASDAQ PROPOSAL TO ESTABLISH TRADING SYSTEM FOR “PORTAL SECURITIES”   As we previously...

    [21136]   May 9, 2007 TO: SEC RULES COMMITTEE No. 44-07 FIXED-INCOME ADVISORY COMMITTEE No. 11-07 EQUITY MARKETS ADVISORY COMMITTEE No. 28-07 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 8-07 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 10-07 ETF ADVISORY COMMITTEE No. 19-07    ...

    [21129]   URGENT/ACTION REQUESTED May 9, 2007 TO: SEC RULES COMMITTEE No. 41-07 TAX COMMITTEE No. 20-07 ACCOUNTING/TREASURERS COMMITTEE No. 9-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 17-07 SMALL FUNDS COMMITTEE No. 16-07     RE: INSTITUTE'S DRAFT PROPOSAL TO AMEND RULE 19A-1...