SEC Rules Content

[18644] March 10, 2005 TO: SEC RULES COMMITTEE No. 22-05 RE: SEC RULES COMMITTEE - REVISED 2005 MEETING DATES Late last year, we sent a memo to the SEC Rules Committee announcing the meeting dates for 2005. Due to a scheduling conflict, we have changed the date of the October 2005...

[18643] March 9, 2005 TO: BOARD OF GOVERNORS No. 10-05 CEOS FEDERAL LEGISLATION MEMBERS No. 1-05 INDEPENDENT DIRECTORS COUNCIL No. 1-05 PENSION COMMITTEE No. 9-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 11-05 PUBLIC COMMUNICATIONS COMMITTEE No. 3-05 SEC RULES COMMITTEE No. 21-05 RE...

[18631] March 4, 2005 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-05 OPERATIONS COMMITTEE No. 3-05 SEC RULES COMMITTEE No. 20-05 SMALL FUNDS COMMITTEE No. 7-05 TECHNOLOGY ADVISORY COMMITTEE No. 5-05 TRANSFER AGENT ADVISORY COMMITTEE No. 6-05 VARIABLE INSURANCE PRODUCTS ADVISORY...

[18625] March 4, 2005 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-05 COMPLIANCE ADVISORY COMMITTEE No. 20-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 22-05 EQUITY MARKETS ADVISORY COMMITTEE No. 16-05 SEC RULES COMMITTEE No. 19-05 SMALL FUNDS COMMITTEE No. 6-05 RE: SEC AND NASD...

[18601] March 1, 2005 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 14-05 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-05 SEC RULES COMMITTEE No. 18-05 RE: DRAFT INSTITUTE LETTER ON SEC PROPOSALS AND CONCEPT RELEASE RELATING TO SELF-REGULATORY ORGANIZATIONS The Securities and Exchange...

[18593] February 25, 2005 TO: PENSION COMMITTEE No. 7-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 19-05 SEC RULES COMMITTEE No. 17-05 RE: INSTITUTE SEEKS INTERPRETIVE GUIDANCE FROM NASD ON APPLICATION OF NASD CONDUCT RULES TO DEFAULT IRA ACCOUNTS The Economic Growth and Tax Relief...

[18570] February 23, 2005 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 10-05 BOARD OF GOVERNORS No. 9-05 CEOS SEC RULES COMMITTEE No. 16-05 SMALL FUNDS COMMITTEE No. 5-05 UNIT INVESTMENT TRUST COMMITTEE No. 2-05 RE: CLASS ACTION REFORM...

[18541] February 15, 2005 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-05 SEC RULES COMMITTEE No. 14-05 RE: CFTC PROPOSAL TO WITHDRAW INTERPRETATION THAT PERMITS USE OF THIRD-PARTY CUSTODIAL ACCOUNTS FOR FUTURES MARGIN The Commodity Futures Trading Commission has issued a notice1...

[18545] February 15, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 13-05 COMPLIANCE ADVISORY COMMITTEE No. 12-05 SEC RULES COMMITTEE No. 15-05 SMALL FUNDS COMMITTEE No. 4-05 RE: HEARING OFFICER DISMISSES SEC ENFORCEMENT PROCEEDING ALLEGING FRAUD IN CONNECTION WITH SALES OF CLASS B...

[18527] February 10, 2005 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-05 EQUITY MARKETS ADVISORY COMMITTEE No. 11-05 SEC RULES COMMITTEE No. 13-05 RE: DRAFT INSTITUTE LETTER ON SEC PROPOSAL RELATING TO REGULATION M As we previously informed you,1 the Securities and Exchange...