SEC Rules Content

[17608] May 27, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 25-04 SEC RULES COMMITTEE No. 50-04 RE: SEC EXTENDS COMMENT PERIOD FOR PROPOSED REGULATION NMS AND ISSUES SUPPLEMENTAL REQUEST FOR COMMENT The Securities and Exchange Commission has formally extended the comment period for...

[17576] May 25, 2004 TO: SEC RULES COMMITTEE No. 48-04 SMALL FUNDS MEMBERS No. 59-04 RE: ICI LETTER TO SEC CHAIRMAN DONALDSON CONCERNING PAPER ON 12b-1 FEES BY SEC STAFF ECONOMIST The Institute has sent a letter to SEC Chairman Donaldson in connection with a recent article in the Wall...

[17564] May 21, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 21-04 EQUITY MARKETS ADVISORY COMMITTEE No. 24-04 SEC RULES COMMITTEE No. 46-04 RE: DRAFT INSTITUTE COMMENT LETTER ON SEC PROPOSAL TO REQUIRE ELECTRONIC FILING AND POSTING OF PROPOSED RULE CHANGES OF SELF- REGULATORY...

[17566] May 21, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 22-04 SEC RULES COMMITTEE No. 47-04 SMALL FUNDS COMMITTEE No. 31-04 RE: INSTITUTE COMMENT LETTER ON SEC PROPOSAL RELATING TO DISCLOSURE RULES FOR PORTFOLIO MANAGERS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES The...

[17533] May 14, 2004 TO: ACCOUNTING/TREASURERS COMMITTEE No. 11-04 BOARD OF GOVERNORS No. 36-04 EQUITY MARKETS ADVISORY COMMITTEE No. 22-04 RESEARCH COMMITTEE No. 11-04 SEC RULES COMMITTEE No. 45-04 SMALL FUNDS COMMITTEE No. 30-04 RE: NASD CREATES TASK FORCE WITH GOAL OF INCREASING...

[17502] May 12, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 21-04 SEC RULES COMMITTEE No. 44-04 RE: DRAFT INSTITUTE LETTER ON SEC PROPOSED REGULATION NMS As we previously informed you,1 the Securities and Exchange Commission has published for comment proposed Regulation NMS.2...

[17488] May 11, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-04 SEC RULES COMMITTEE No. 42-04 SMALL FUNDS COMMITTEE No. 28-04 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC PROPOSAL RELATING TO DISCLOSURE RULES FOR PORTFOLIO MANAGERS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES...

[17493] May 11, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 48-04 PENSION COMMITTEE No. 27-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 38-04 SEC RULES COMMITTEE No. 43-04 SMALL FUNDS COMMITTEE No. 29-04 RE: INSTITUTE COMMENT LETTER ON PROPOSED BAN ON DIRECTED BROKERAGE ARRANGEMENTS...

[17478] May 7, 2004 TO: 529 PLAN ADVISORY COMMITTEE No. 18-04 BANK AND TRUST ADVISORY COMMITTEE No. 11-04 BROKER/DEALER ADVISORY COMMITTEE No. 16-04 OPERATIONS COMMITTEE No. 9-04 PENSION COMMITTEE No. 25-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 36-04 SEC RULES COMMITTEE No. 41-04...

[17454] May 5, 2004 TO: SEC RULES COMMITTEE No. 40-04 RE: NOTICE OF SEC RULES COMMITTEE MEETING AND WEST COAST VIDEOCONFERENCE - JUNE 16, 2004 A meeting of the SEC Rules Committee has been scheduled for Wednesday, June 16th at the offices of the Investment Company Institute, 1401 H...