SEC Rules Content

    [20989]   March 23, 2007 TO: COMPLIANCE ADVISORY COMMITTEE No. 7-07 SMALL FUNDS COMMITTEE No. 13-07 SEC RULES COMMITTEE No. 31-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-07 INVESTMENT ADVISERS COMMITTEE No. 7-07 UNIT INVESTMENT...

    [20983]   March 23, 2007 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-07 COMPLIANCE ADVISORY COMMITTEE No. 6-07 INTERNATIONAL COMMITTEE No. 6-07 INTERNATIONAL INVESTING SUBCOMMITTEE No. 3-07 SEC RULES COMMITTEE No. 30-07 SMALL FUNDS COMMITTEE No. 12-07     RE: INFORMATION REQUIRED...

    [20979]   March 22, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-07 SEC RULES COMMITTEE No. 29-07 SMALL FUNDS COMMITTEE No. 11-07     RE: DRAFT ICI COMMENT LETTER ON SEC PROPOSAL TO REQUIRE ISSUERS TO MAKE PROXY MATERIALS AVAILABLE ON THE INTERNET; CONFERENCE CALL MARCH...

    [20975]   March 21, 2007 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 15-07 OPERATIONS COMMITTEE No. 5-07 SEC RULES COMMITTEE No. 28-07 SMALL FUNDS COMMITTEE No. 10-07     RE: DEADLINE EXTENDED FOR ELECTRONIC FILING OF TRANSFER AGENT FORMS WITH SEC   As you know, the Securities and...

    [20958]   March 15, 2007 TO: AML COMPLIANCE WORKING GROUP No. 1-07 INTERNATIONAL COMMITTEE No. 4-07 INTERNATIONAL INVESTING SUBCOMMITTEE No. 1-07 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 4-07 PRIMARY CONTACTS - MEMBER COMPLEX No. 5-07 SEC RULES COMMITTEE No. 26-07     RE...

    [20961]   March 15, 2007 TO: SEC RULES COMMITTEE No. 27-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-07 COMPLIANCE ADVISORY COMMITTEE No. 5-07 BROKER/DEALER ADVISORY COMMITTEE No. 16-07     RE: DRAFT ICI COMMENT LETTER ON PROPOSED HARMONIZATION OF NASD AND NYSE DEFINITIONS OF...

    [20951]   March 14, 2007 TO: SEC RULES COMMITTEE No. 25-07 TECHNOLOGY ADVISORY COMMITTEE No. 8-07 COMPLIANCE ADVISORY COMMITTEE No. 4-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-07     RE: SEC EXAMINERS' REQUESTS FOR TELEPHONE RECORDS   Under Section 204 of the Investment Advisers...

    [20932]   March 9, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-07 ETF ADVISORY COMMITTEE No. 11-07 FIXED-INCOME ADVISORY COMMITTEE No. 5-07 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 4-07 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 3-07 SEC RULES COMMITTEE No. 24-07...

    [20935]   March 8, 2007 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 12-07 INTERNATIONAL COMMITTEE No. 3-07 INVESTMENT ADVISERS COMMITTEE No. 6-07 SEC RULES COMMITTEE No. 23-07     RE: DRAFT ICI COMMENT LETTER ON IOSCO CONSULTATION ON SOFT COMMISSIONS   In late 2006, the Technical...

    [20911]   March 5, 2007 TO: ACCOUNTING/TREASURERS COMMITTEE No. 6-07 SEC RULES COMMITTEE No. 21-07 SMALL FUNDS COMMITTEE No. 8-07 TECHNOLOGY ADVISORY COMMITTEE No. 6-07     RE: DRAFT ICI COMMENTS ON SEC PROPOSAL TO EXTEND INTERACTIVE DATA VOLUNTARY REPORTING PROGRAM TO INCLUDE...