SEC Rules Content

[18147] November 1, 2004 TO: SEC RULES COMMITTEE No. 83-04 RE: SURVEY OF SEC RULES COMMITTEE MEMBERS REGARDING COMMITTEE MEETINGS -- RESPONSE REQUESTED BY NOVEMBER 8TH At the October 28th SEC Rules Committee meeting, we distributed a brief survey questionnaire seeking input from...

[18130] October 22, 2004 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-04 INVESTMENT ADVISERS COMMITTEE No. 16-04 PENSION COMMITTEE No. 50-04 SEC RULES COMMITTEE No. 82-04 RE: SEC APPROVES NASD PROPOSAL RELATING TO USE OF INVESTMENT ANALYSIS TOOLS The Securities and Exchange...

[18109] October 15, 2004 TO: SEC RULES COMMITTEE No. 81-04 RE: DRAFT AGENDA FOR OCTOBER 28TH SEC RULES COMMITTEE MEETING AND CALIFORNIA VIDEOCONFERENCE Attached is the draft agenda for the SEC Rules Committee meeting scheduled for Thursday, October 28th. If there are other issues that...

[18073] October 12, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 39-04 COMPLIANCE ADVISORY COMMITTEE No. 98-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 93-04 SEC RULES COMMITTEE No. 80-04 SMALL FUNDS COMMITTEE No. 47-04 RE: NEW...

[18057] September 30, 2004 TO: ACCOUNTING/TREASURERS COMMITTEE No. 28-04 SEC RULES COMMITTEE No. 79-04 TECHNOLOGY ADVISORY COMMITTEE No. 27-04 RE: SEC PROPOSES RULE TO ESTABLISH VOLUNTARY PROGRAM FOR REPORTING FINANCIAL INFORMATION ON EDGAR USING XBRL; ISSUES CONCEPT RELEASE SEEKING...

[18008] September 15, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 37-04 SEC RULES COMMITTEE No. 78-04 RE: PROPOSED CHANGES TO NYSE CORPORATE GOVERNANCE REQUIREMENTS; YOUR VIEWS REQUESTED BY SEPTEMBER 21st The Securities and Exchange Commission has asked for comments on...

[17975] September 13, 2004 TO: SEC RULES COMMITTEE No. 77-04 RE: NOTICE OF SEC RULES COMMITTEE MEETING AND WEST COAST VIDEOCONFERENCE - OCTOBER 28, 2004 A meeting of the SEC Rules Committee has been scheduled for Thursday, October 28th at the offices of the Investment Company...

[17967] September 10, 2004 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 4-04 SEC RULES COMMITTEE No. 76-04 SMALL FUNDS COMMITTEE No. 46-04 RE: DRAFT ICI COMMENT LETTER ON NASD PROPOSAL TO REQUIRE EXPENSE RATIOS IN FUND PERFORMANCE ADS - CONFERENCE CALL SEPTEMBER 14TH As...

[17947] September 7, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-04 INTERNATIONAL COMMITTEE No. 42-04 INVESTMENT ADVISERS COMMITTEE No. 14-04 SEC RULES COMMITTEE No. 75-04 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC PROPOSAL REQUIRING HEDGE FUND ADVISERS TO REGISTER UNDER...

[17944] September 2, 2004 TO: INVESTMENT ADVISERS COMMITTEE No. 13-04 SEC RULES COMMITTEE No. 74-04 RE: INSTITUTE DRAFT COMMENT LETTER ON THE SEC’S PROPOSAL TO EXCLUDE CERTAIN BROKER-DEALERS FROM THE ADVISERS ACT As we previously informed you, the SEC recently reproposed comment Rule...