SEC Rules Content

    [20852]   February 7, 2007 TO: SEC RULES COMMITTEE No. 13-07     RE: DRAFT AGENDA FOR FEBRUARY 22ND SEC RULES COMMITTEE MEETING AND LOS ANGELES AND CHICAGO VIDEOCONFERENCES   Attached is the draft agenda for the February 22nd SEC Rules Committee meeting.  We are pleased to...

    [20826]   January 29, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-07 SEC RULES COMMITTEE No. 10-07 SMALL FUNDS COMMITTEE No. 3-07     RE: SEC ADOPTS RULES PERMITTING USE OF INTERNET TO FURNISH PROXY MATERIALS; PROPOSES TO REQUIRE THAT PROXY MATERIALS BE MADE AVAILABLE...

    [20822]   January 29, 2007 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 2-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-07 SEC RULES COMMITTEE No. 9-07     RE: SEC ISSUES RULE PROPOSALS RELATING TO SHORT SELLING   The SEC has issued two rule proposals relating to short selling. ...

    [20821]   January 29, 2007 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 1-07 SEC RULES COMMITTEE No. 8-07     RE: MARK YOUR CALENDAR - EQUITY MARKETS ADVISORY COMMITTEE MEETING SCHEDULED FOR APRIL 17, 2007   A meeting of the Equity Markets Advisory Committee has been scheduled for...

    [20810]   January 26, 2007 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 5-07 OPERATIONS COMMITTEE No. 1-07 SEC RULES COMMITTEE No. 7-07 SMALL FUNDS COMMITTEE No. 2-07     RE: SEC FINALIZES RULE AMENDMENTS TO REQUIRE ELECTRONIC FILING OF TRANSFER AGENT FORMS   The Securities and...

    [20792]   January 19, 2007 TO: SEC RULES COMMITTEE No. 6-07     RE: NOTICE OF SEC RULES COMMITTEE MEETING AND LOS ANGELES AND CHICAGO VIDEOCONFERENCE OPTIONS - FEBRUARY 22, 2007   A meeting of the SEC Rules Committee has been scheduled for Thursday, February 22, 2007 at the...

    [20790]   January 17, 2007 TO: BOARD OF GOVERNORS No. 4-07 PRIMARY CONTACTS - MEMBER COMPLEX No. 4-07 SEC RULES COMMITTEE No. 5-07     RE: CONSOLIDATION OF NASD AND NYSE MEMBER REGULATION OPERATIONS   As we previously informed you, on November 28, the NASD and NYSE announced the...

    [20788]   January 16, 2007 TO: BOARD OF GOVERNORS No. 3-07 INVESTMENT COMPANY DIRECTORS No. 3-07 INDEPENDENT DIRECTORS COUNCIL No. 1-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-07 PRIMARY CONTACTS - MEMBER COMPLEX No. 3-07 SEC RULES COMMITTEE No. 4-07 SMALL FUNDS MEMBERS No...

    [20772]   January 9, 2007 TO: SEC RULES COMMITTEE No. 3-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-07 INVESTMENT ADVISERS COMMITTEE No. 1-07 SMALL FUNDS COMMITTEE No. 1-07     RE: SEC PROPOSES NEW RULES PROHIBITING FRAUD BY INVESTMENT ADVISERS TO POOLED INVESTMENT VEHICLES...

    [20765]   January 8, 2007 TO: ETF ADVISORY COMMITTEE SEC RULES COMMITTEE No. 2-07     RE: FIRST MEETING OF THE ETF ADVISORY COMMITTEE--JANUARY 26, 2007   As we previously informed you, the first meeting of the Institute’s ETF Advisory Committee is scheduled for Friday, January...