SEC Rules Content

[18410] January 12, 2005 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-05 COMPLIANCE ADVISORY COMMITTEE No. 2-05 INVESTMENT ADVISERS COMMITTEE No. 2-05 SEC RULES COMMITTEE No. 3-05 SMALL FUNDS COMMITTEE No. 1-05 RE: DRAFTING GUIDE FOR CODES OF ETHICS UNDER RULES 17j-1 AND 204A-1...

[18399] January 11, 2005 TO: SEC RULES COMMITTEE No. 2-05 RE: NOTICE OF SEC RULES COMMITTEE MEETING AND LOS ANGELES AND CHICAGO VIDEOCONFERENCE OPTIONS - FEBRUARY 15, 2005 A meeting of the SEC Rules Committee has been scheduled for Tuesday, February 15th at the offices of the...

[18397] January 7, 2005 TO: INVESTMENT ADVISERS COMMITTEE No. 1-05 SEC RULES COMMITTEE No. 1-05 RE: SEC ADOPTS TEMPORARY RULE EXCLUDING CERTAIN BROKERS FROM THE ADVISERS ACT AND SEEKS COMMENT ON ADOPTION OF PERMANENT RULE On January 6th, the Securities and Exchange Commission adopted...

[18369] December 22, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 122-04 PENSION COMMITTEE No. 60-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 85-04 SEC RULES COMMITTEE No. 100-04 SMALL FUNDS COMMITTEE No. 53-04 RE: SEC APPROVES NASD’S PROPOSED BAN ON DIRECTED BROKERAGE The Securities...

[18368] December 22, 2004 TO: SEC RULES COMMITTEE No. 99-04 RE: 2005 SEC RULES COMMITTEE MEETING SCHEDULE Set forth below are the dates for meetings of the SEC Rules Committee in 2005: Tuesday, February 15, 2005 Wednesday, June 15, 2005 Thursday, October 20, 2005 The meetings will be...

[18354] December 20, 2004 TO: BOARD OF GOVERNORS No. 88-04 INDEPENDENT DIRECTORS COUNCIL No. 16-04 SEC RULES COMMITTEE No. 98-04 RE: PAUL SCHOTT STEVENS’ SPEECH AT THE EXCHEQUER CLUB ICI President Paul Stevens spoke at a December 15, 2004 meeting of the Exchequer Club in Washington...

[18322] December 10, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 33-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 46-04 COMPLIANCE ADVISORY COMMITTEE No. 118-04 EQUITY MARKETS ADVISORY COMMITTEE No. 51-04 INVESTMENT ADVISERS COMMITTEE No. 20-04 SEC RULES COMMITTEE No. 97-04 SMALL...

[18317] December 9, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 50-04 SEC RULES COMMITTEE No. 96-04 RE: DRAFT INSTITUTE LETTER ON NYSE PROPOSED RULE CHANGE RELATING TO AMENDMENTS TO “HYBRID” PROPOSAL As we previously informed you,1 the New York Stock Exchange has filed a proposed...

[18287] December 2, 2004 TO: BOARD OF GOVERNORS No. 82-04 CEOS BROKER/DEALER ADVISORY COMMITTEE No. 30-04 OPERATIONS COMMITTEE No. 22-04 SEC RULES COMMITTEE No. 95-04 SMALL FUNDS COMMITTEE No. 51-04 TRANSFER AGENT ADVISORY COMMITTEE No. 81-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 32...

[18286] December 2, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 49-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 45-04 SEC RULES COMMITTEE No. 94-04 RE: SEC DELAYS REGULATION SHO PILOT PERIOD The SEC has issued an order delaying the pilot period for suspension of the operation of...