SEC Rules Content

[17462] May 4, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19-04 SEC RULES COMMITTEE No. 39-04 SMALL FUNDS COMMITTEE No. 26-04 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 4-04 RE: DRAFT ICI COMMENT LETTER ON SEC EDGAR RULE PROPOSAL As we previously informed you, the...

[17434] April 28, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-04 EQUITY MARKETS ADVISORY COMMITTEE No. 20-04 SEC RULES COMMITTEE No. 38-04 RE: SEC PROPOSAL TO REQUIRE ELECTRONIC FILING AND POSTING OF PROPOSED RULE CHANGES OF SELF-REGULATORY ORGANIZATIONS The Securities and...

[17427] April 27, 2004 TO: PENSION COMMITTEE No. 23-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 34-04 SEC RULES COMMITTEE No. 37-04 SMALL FUNDS COMMITTEE No. 25-04 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED BAN ON DIRECTED BROKERAGE ARRANGEMENTS AND FURTHER REFORM OF RULE 12b-1...

ACTION REQUESTED [17401] April 19, 2004 TO: BANK AND TRUST ADVISORY COMMITTEE No. 8-04 BROKER/DEALER ADVISORY COMMITTEE No. 13-04 OPERATIONS COMMITTEE No. 7-04 PENSION COMMITTEE No. 20-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 32-04 SEC RULES COMMITTEE No. 36-04 SMALL FUNDS...

[17397] April 16, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 18-04 SEC RULES COMMITTEE No. 35-04 RE: SEC ANNOUNCES AGENDA FOR PUBLIC HEARING ON PROPOSED REGULATION NMS The SEC has announced the agenda for the public hearing to be held on proposed Regulation NMS on Wednesday, April...

[17383] April 14, 2004 TO: 529 PLAN ADVISORY COMMITTEE No. 14-04 SEC RULES COMMITTEE No. 33-04 SMALL FUNDS COMMITTEE No. 23-04 RE: INSTITUTE COMMENT LETTER ON SEC PROPOSED CONFIRMATION AND POINT OF SALE DISCLOSURE RULES As we previously advised you, in January, the Securities and...

[17380] April 13, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 16-04 SEC RULES COMMITTEE No. 32-04 SMALL FUNDS COMMITTEE No. 22-04 RE: DRAFT ICI COMMENT LETTER ON SEC PROPOSAL REGARDING BOARD APPROVAL OF ADVISORY CONTRACTS; CONFERENCE CALL APRIL 16TH As we previously informed...

URGENT/ACTION REQUESTED [17326] April 1, 2004 TO: INTERNATIONAL COMMITTEE No. 18-04 SEC RULES COMMITTEE No. 30-04 RE: DRAFT ICI COMMENT LETTER ON EU REGULATORY REGIME FOR REMUNERATION OF DIRECTORS Attached is a draft Institute comment letter in response to the EU Commission’s...

[17331] March 31, 2004 TO: INVESTMENT COMPANY DIRECTORS No. 15-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 32-04 SEC RULES COMMITTEE No. 29-04 RE: DIRECTORS WRITE LETTER TO THE EDITOR On March 17, 2004, The Wall Street Journal published an article entitled “As Scandals Mount, Boards of...

[17318] March 30, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-04 SEC RULES COMMITTEE No. 28-04 SMALL FUNDS COMMITTEE No. 21-04 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 3-04 RE: SEC PROPOSES AMENDMENTS TO EDGAR SYSTEM RULES TO IDENTIFY SERIES AND CLASSES AND...