SEC Rules Content

[16986] January 16, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 6-04 SEC RULES COMMITTEE No. 7-04 SMALL FUNDS COMMITTEE No. 5-04 RE: DRAFT INSTITUTE COMMENT LETTER ON DISCLOSURE PROPOSAL ON MARKET TIMING, FAIR VALUE PRICING, AND PORTFOLIO HOLDINGS As we previously advised you, the...

[16969] January 14, 2004 TO: BOARD OF GOVERNORS No. 4-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 4-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-04 FEDERAL LEGISLATION MEMBERS No. 1-04 PUBLIC INFORMATION COMMITTEE No. 2-04 SEC RULES COMMITTEE No. 6-04 SMALL FUNDS COMMITTEE No. 4-04...

[16968] January 13, 2004 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 1-04 SEC RULES COMMITTEE No. 5-04 SMALL FUNDS COMMITTEE No. 3-04 RE: DRAFT ICI COMMENT LETTER REGARDING NASD PROPOSAL TO REQUIRE EXPENSE RATIOS IN FUND PERFORMANCE ADVERTISEMENTS; COMMENTS REQUESTED BY JANUARY...

[16965] January 12, 2004 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-04 OPERATIONS COMMITTEE No. 2-04 SEC RULES COMMITTEE No. 4-04 SMALL FUNDS COMMITTEE No. 2-04 TECHNOLOGY ADVISORY COMMITTEE No. 1-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 3-04 RE: NEXT GENERATION FINANCIAL SERVICES...

[16958] January 12, 2004 TO: SEC RULES COMMITTEE No. 3-04 RE: INSTITUTE DRAFT COMMENT LETTER ON PROPOSED REVISIONS TO FORM N-1A RELATING TO SALES CHARGE BREAKPOINT DISCLOSURE As we previously informed you, in order to assist investors in understanding and taking advantage of the sales...

[16957] January 12, 2004 TO: ACCOUNTING/TREASURERS COMMITTEE No. 1-04 COMPLIANCE ADVISORY COMMITTEE No. 4-04 OPERATIONS COMMITTEE No. 1-04 PENSION COMMITTEE No. 4-04 SEC RULES COMMITTEE No. 2-04 SMALL FUNDS COMMITTEE No. 1-04 TRANSFER AGENT ADVISORY COMMITTEE No. 3-04 RE: DRAFT...

[16940] January 6, 2004 TO: SEC RULES COMMITTEE No. 1-04 RE: NOTICE OF SEC RULES COMMITTEE MEETING AND WEST COAST VIDEOCONFERENCE - FEBRUARY 19, 2004 A meeting of the SEC Rules Committee has been scheduled for Thursday, February 19th at the offices of the Investment Company Institute...

[16923] December 29, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 42-03 SEC RULES COMMITTEE No. 108-03 RE: DRAFT INSTITUTE LETTER ON SEC PROPOSED REGULATION SHO RELATING TO SHORT SALES As we previously informed you, the Securities and Exchange Commission published for comment...

[16919] December 24, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 39-03 EQUITY MARKETS ADVISORY COMMITTEE No. 41-03 RESEARCH COMMITTEE No. 24-03 SEC RULES COMMITTEE No. 107-03 SMALL FUNDS COMMITTEE No. 36-03 RE: SEC ISSUES CONCEPT RELEASE SEEKING COMMENT ON MEASURES TO IMPROVE...

[16909] December 19, 2003 TO: SEC RULES COMMITTEE No. 106-03 RE: SEC PROPOSED REVISIONS TO FORM N-1A TO ENHANCE SALES CHARGE BREAKPOINT DISCLOSURE In order to assist investors in understanding and taking advantage of the sales charge breakpoint discount opportunities available to them...