SEC Rules Content

[18510] February 8, 2005 TO: SEC RULES COMMITTEE No. 12-05 RE: POSSIBLE ICI RECOMMENDATIONS FOR REGULATORY IMPROVEMENTS TO BE DISCUSSED AT FEBRUARY 15TH SEC RULES COMMITTEE MEETING At the February 15th SEC Rules Committee meeting, we plan to discuss possible ICI recommendations to the...

[18507] February 7, 2005 TO: INVESTMENT ADVISERS COMMITTEE No. 6-05 SEC RULES COMMITTEE No. 11-05 RE: INSTITUTE LETTER ON PROPOSED SEC RULE AND INTERPRETIVE STATEMENT EXCLUDING CERTAIN BROKERS FROM THE ADVISERS ACT Last month, the Securities and Exchange Commission proposed permanent...

November 6, 1992 TO: BOARD OF GOVERNORS NO. 79-92 SEC RULES COMMITTEE NO. 84-92 CLOSED-END FUND COMMITTEE NO. 28-92 CLOSED-END FUND DIVISIONAL COMMITTEE INTERVAL FUNDS AD HOC COMMITTEE RE: INSTITUTE LETTER ON SEC’S INTERVAL FUND PROPOSALS ______________________________________________...

[18503] February 3, 2005 TO: SEC RULES COMMITTEE No. 10-05 RE: DRAFT AGENDA FOR FEBRUARY 15TH SEC RULES COMMITTEE MEETING AND LOS ANGELES AND CHICAGO VIDEOCONFERENCES Attached is the draft agenda for the SEC Rules Committee meeting scheduled for Tuesday, February 15th. If there are...

[18475] January 28, 2005 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-05 INVESTMENT ADVISERS COMMITTEE No. 5-05 SEC RULES COMMITTEE No. 9-05 SMALL FUNDS COMMITTEE No. 2-05 UNIT INVESTMENT TRUST COMMITTEE No. 1-05 RE: SEC SEMI-ANNUAL REGULATORY AGENDA Last month, the Securities...

[18261] January 24, 2005 TO: SEC RULES COMMITTEE No. 7-05 RE: SEC RULES COMMITTEE SURVEY RESULTS We recently asked SEC Rules Committee members to complete a survey to provide feedback on various aspects of the Committee’s meetings.∗ Overall, the survey results were positive...

[18446] January 24, 2005 TO: INVESTMENT ADVISERS COMMITTEE No. 4-05 SEC RULES COMMITTEE No. 8-05 RE: INSTITUTE DRAFT LETTER ON PROPOSED SEC RULE AND INTERPRETIVE STATEMENT EXCLUDING CERTAIN BROKERS FROM THE ADVISERS ACT Earlier this month, the Securities and Exchange Commission...

[18440] January 21, 2005 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-05 EQUITY MARKETS ADVISORY COMMITTEE No. 7-05 FIXED-INCOME ADVISORY COMMITTEE No. 3-05 SEC RULES COMMITTEE No. 6-05 RE: DRAFT INSTITUTE LETTER ON SECURITIES ACT REFORM PROPOSALS As we previously informed you,1...

[18427] January 19, 2005 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 6-05 SEC RULES COMMITTEE No. 5-05 RE: DRAFT INSTITUTE LETTER ON REPROPOSED SEC REGULATION NMS As we previously informed you,1 the Securities and Exchange Commission has reproposed Regulation NMS for further public...

[18425] January 18, 2005 TO: SEC RULES COMMITTEE No. 4-05 COMPLIANCE ADVISORY COMMITTEE No. 5-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-05 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-05 SMALL FUNDS MEMBERS No. 7-05 TECHNOLOGY ADVISORY COMMITTEE No. 2-05 INVESTMENT ADVISERS...