SEC Rules Content

[17258] March 19, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-04 SEC RULES COMMITTEE No. 27-04 SMALL FUNDS COMMITTEE No. 20-04 RE: SEC PROPOSES DISCLOSURE RULES RELATING TO PORTFOLIO MANAGERS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES; CONFERENCE CALL SCHEDULED FOR...

[17247] March 18, 2004 TO: 529 PLAN ADVISORY COMMITTEE No. 10-04 SEC RULES COMMITTEE No. 26-04 SMALL FUNDS COMMITTEE No. 19-04 UNIT INVESTMENT TRUST COMMITTEE No. 10-04 RE: DRAFT COMMENT LETTER ON SEC PROPOSED CONFIRMATION AND POINT OF SALE DISCLOSURE RULES; CONFERENCE CALL SCHEDULED...

[17217] March 16, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 8-04 SEC RULES COMMITTEE No. 25-04 RE: SEC ENCOURAGES ICI MEMBERS TO COMMENT ON PROPOSED REGULATION NMS SEC Division of Market Regulation Director Annette L. Nazareth has sent a letter to ICI President Matthew P. Fink...

[17212] March 15, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-04 COMPLIANCE ADVISORY COMMITTEE No. 34-04 INVESTMENT ADVISERS COMMITTEE No. 5-04 SEC RULES COMMITTEE No. 24-04 SMALL FUNDS COMMITTEE No. 18-04 RE: PROXY VOTING DISCLOSURE SERVICES OFFERED BY THIRD PARTY VENDOR...

[17206] March 12, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 6-04 SEC RULES COMMITTEE No. 23-04 RE: SEC PROPOSES REGULATION NMS The Securities and Exchange Commission has published for comment proposed Regulation NMS.1 Regulation NMS contains four interrelated proposals that are...

[17171] March 8, 2004 TO: BANK AND TRUST ADVISORY COMMITTEE No. 5-04 BROKER/DEALER ADVISORY COMMITTEE No. 8-04 OPERATIONS COMMITTEE No. 4-04 PENSION COMMITTEE No. 12-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 22-04 SEC RULES COMMITTEE No. 22-04 SMALL FUNDS COMMITTEE No. 17-04 TAX...

URGENT/ACTION REQUESTED [17179] March 5, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-04 COMPLIANCE ADVISORY COMMITTEE No. 33-04 INVESTMENT ADVISERS COMMITTEE No. 4-04 SEC RULES COMMITTEE No. 21-04 SMALL FUNDS COMMITTEE No. 16-04 RE: DRAFT ICI COMMENT LETTER ON SEC PROPOSAL...

[17167] March 2, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 31-04 PENSION COMMITTEE No. 10-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 19-04 SEC RULES COMMITTEE No. 20-04 SMALL FUNDS COMMITTEE No. 15-04 RE: SEC AND NASD PROPOSE BAN ON DIRECTED BROKERAGE AND SEC SEEKS COMMENT ON...

ACTION REQUESTED [17135] March 1, 2004 TO: INTERNATIONAL COMMITTEE No. 12-04 SEC RULES COMMITTEE No. 19-04 RE: EU COMMISSION SEEKS COMMENT ON APPROPRIATE REGIME FOR REMUNERATION OF DIRECTORS OF LISTED COMPANIES On February 23, 2004, the EU Commission published a consultation document...

[17126] February 27, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-04 SEC RULES COMMITTEE No. 18-04 SMALL FUNDS COMMITTEE No. 14-04 RE: DRAFT INSTITUTE COMMENT LETTER ON SEC’S FUND GOVERNANCE PROPOSALS Attached is the Institute’s draft comment letter on the Securities and...