SEC Rules Content

[17109] February 17, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-04 SEC RULES COMMITTEE No. 17-04 SMALL FUNDS COMMITTEE No. 13-04 RE: SEC PROPOSES NEW DISCLOSURE REQUIREMENTS REGARDING BOARD APPROVAL OF INVESTMENT ADVISORY CONTRACTS The Securities and Exchange Commission...

[17090] February 10, 2004 TO: ACCOUNTING/TREASURERS COMMITTEE No. 6-04 EQUITY MARKETS ADVISORY COMMITTEE No. 3-04 SEC RULES COMMITTEE No. 16-04 SMALL FUNDS COMMITTEE No. 12-04 RE: DRAFT INSTITUTE LETTER ON SEC CONCEPT RELEASE ON MEASURES TO IMPROVE DISCLOSURE OF MUTUAL FUND...

[17088] February 9, 2004 TO: SEC RULES COMMITTEE No. 15-04 RE: DRAFT AGENDA FOR FEBRUARY 19TH SEC RULES COMMITTEE MEETING AND CALIFORNIA VIDEOCONFERENCE Attached is the draft agenda for the SEC Rules Committee meeting scheduled for Thursday, February 19th. If there are other issues...

[17047] February 3, 2004 TO: 529 PLAN ADVISORY COMMITTEE No. 3-04 SEC RULES COMMITTEE No. 13-04 SMALL FUNDS COMMITTEE No. 9-04 UNIT INVESTMENT TRUST COMMITTEE No. 8-04 RE: SEC PROPOSES NEW FUND AND 529 PLAN CONFIRMATION AND POINT OF SALE DISCLOSURE RULES; CONFERENCE CALL SCHEDULED FOR...

[17054] February 3, 2004 TO: BOARD OF GOVERNORS No. 7-04 DIRECTORS’ COMMITTEE No. 4-04 SEC RULES COMMITTEE No. 14-04 SMALL FUNDS COMMITTEE No. 10-04 RE: FIRM RETAINED TO ASSIST CONGRESSIONAL EFFORTS OF INDEPENDENT DIRECTORS Clark & Weinstock, a well-respected lobbying firm in...

[17032] January 30, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-04 COMPLIANCE ADVISORY COMMITTEE No. 13-04 EQUITY MARKETS ADVISORY COMMITTEE No. 2-04 INTERNATIONAL COMMITTEE No. 8-04 INVESTMENT ADVISERS COMMITTEE No. 3-04 PENSION COMMITTEE No. 6-04 SEC RULES COMMITTEE No...

[17014] January 28, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-04 SEC RULES COMMITTEE No. 10-04 SMALL FUNDS COMMITTEE No. 7-04 RE: SEC PROPOSES RULE AMENDMENTS TO ENHANCE INDEPENDENCE AND EFFECTIVENESS OF FUND BOARDS The Securities and Exchange Commission (SEC) has...

[17015] January 28, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-04 COMPLIANCE ADVISORY COMMITTEE No. 11-04 INVESTMENT ADVISERS COMMITTEE No. 2-04 SEC RULES COMMITTEE No. 11-04 SMALL FUNDS COMMITTEE No. 8-04 RE: SEC PROPOSES NEW INVESTMENT ADVISER CODE OF ETHICS REQUIREMENT...

[17002] January 23, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-04 COMPLIANCE ADVISORY COMMITTEE No. 10-04 SEC RULES COMMITTEE No. 9-04 SMALL FUNDS COMMITTEE No. 6-04 UNIT INVESTMENT TRUST COMMITTEE No. 5-04 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED REVISIONS TO RULE...

[16989] January 16, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-04 INVESTMENT ADVISERS COMMITTEE No. 1-04 SEC RULES COMMITTEE No. 8-04 UNIT INVESTMENT TRUST COMMITTEE No. 4-04 RE: SEC SEMI-ANNUAL REGULATORY AGENDA The Securities and Exchange Commission has published its...