SEC Rules Content

  URGENT/ACTION REQUESTED [20928]   March 5, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-07 INVESTMENT ADVISERS COMMITTEE No. 5-07 SEC RULES COMMITTEE No. 22-07 SMALL FUNDS COMMITTEE No. 9-07     RE: DRAFT COMMENT LETTER ON PROPOSED INVESTMENT ADVISER ANTIFRAUD RULES AND...

    [20918]   March 2, 2007 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 13-07 OPERATIONS COMMITTEE No. 4-07 SEC RULES COMMITTEE No. 20-07 SMALL FUNDS COMMITTEE No. 7-07     RE: SEC STAFF GUIDANCE CLARIFYING FINAL RULE AMENDMENTS TO REQUIRE ELECTRONIC FILING OF TRANSFER AGENT FORMS   As...

    [20899]   February 23, 2007 TO: SEC RULES COMMITTEE No. 19-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-07 ETF ADVISORY COMMITTEE No. 8-07 EQUITY MARKETS ADVISORY COMMITTEE No. 10-07 UNIT INVESTMENT TRUST COMMITTEE No. 1-07     RE: NASD AND NYSE PROPOSALS RELATING TO RESEARCH...

    [20898]   February 23, 2007 TO: SEC RULES COMMITTEE No. 18-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-07 COMPLIANCE ADVISORY COMMITTEE No. 2-07 BROKER/DEALER ADVISORY COMMITTEE No. 14-07     RE: NASD REQUESTS COMMENT ON PROPOSED HARMONIZATION OF NASD AND NYSE DEFINITION OF...

    [20889]   February 21, 2007 TO: ACCOUNTING/TREASURERS COMMITTEE No. 3-07 SEC RULES COMMITTEE No. 16-07     RE: ICI DRAFT COMMENT LETTER ON PCAOB PROPOSAL ON AUDITS OF INTERNAL CONTROL OVER FINANCIAL REPORTING   The Public Company Accounting Oversight Board recently released a...

    [20872]   February 21, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-07 SEC RULES COMMITTEE No. 17-07 SMALL FUNDS COMMITTEE No. 6-07     RE: DRAFT ICI COMMENTS ON SEC STAFF ECONOMIC PAPERS RELATING TO FUND GOVERNANCE   Late last year, the Securities and Exchange...

    [20873]   February 16, 2007 TO: PENSION COMMITTEE No. 6-07 PENSION OPERATIONS ADVISORY COMMITTEE No. 6-07 INVESTMENT ADVISERS COMMITTEE No. 4-07 EQUITY MARKETS ADVISORY COMMITTEE No. 9-07 SEC RULES COMMITTEE No. 15-07     RE: CONFERENCE CALL SCHEDULED FOR MARCH 8, 2007 AT 2 PM...

    [20866]   February 13, 2007 TO: PENSION COMMITTEE No. 5-07 PENSION OPERATIONS ADVISORY COMMITTEE No. 5-07 INVESTMENT ADVISERS COMMITTEE No. 3-07 EQUITY MARKETS ADVISORY COMMITTEE No. 6-07 SEC RULES COMMITTEE No. 14-07     RE: DEPARTMENT OF LABOR ISSUES INTERIM FINAL GUIDANCE ON...

    [20848]   February 7, 2007 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 4-07 INTERNATIONAL COMMITTEE No. 2-07 INVESTMENT ADVISERS COMMITTEE No. 2-07 SEC RULES COMMITTEE No. 11-07     RE: DRAFT ICI COMMENT LETTER ON CESR PUBLIC CONSULTATION ON INDUCEMENTS UNDER MIFID   In late...

    [20853]   February 7, 2007 TO: SEC RULES COMMITTEE No. 12-07 ACCOUNTING/TREASURERS COMMITTEE No. 2-07 TECHNOLOGY ADVISORY COMMITTEE No. 5-07 SMALL FUNDS COMMITTEE No. 4-07 XBRL WORKING GROUP     RE: SEC PROPOSES TO EXTEND INTERACTIVE DATA VOLUNTARY REPORTING PROGRAM ON THE EDGAR...