SEC Rules Content

[16904] December 19, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 67-03 COMPLIANCE ADVISORY COMMITTEE No. 112-03 SEC RULES COMMITTEE No. 105-03 SMALL FUNDS COMMITTEE No. 35-03 UNIT INVESTMENT TRUST COMMITTEE No. 25-03 RE: SEC ADOPTS FUND AND ADVISER COMPLIANCE RULES AND SEEKS...

[16895] December 18, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 66-03 SEC RULES COMMITTEE No. 104-03 RE: DRAFT ICI COMMENT LETTER ON SEC MANAGER OF MANAGERS FUND RULE PROPOSAL As previously indicated, the SEC recently proposed new rule 15a-5 under the Investment Company Act...

[16879] December 15, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 110-03 SEC RULES COMMITTEE No. 103-03 SMALL FUNDS COMMITTEE No. 34-03 RE: SEC PROPOSES DISCLOSURE REQUIREMENTS RELATING TO MARKET TIMING, FAIR VALUE PRICING, AND SELECTIVE DISCLOSURE OF PORTFOLIO HOLDINGS The Securities...

[16873] December 12, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 38-03 COMPLIANCE ADVISORY COMMITTEE No. 107-03 OPERATIONS COMMITTEE No. 26-03 PENSION COMMITTEE No. 46-03 SEC RULES COMMITTEE No. 102-03 SMALL FUNDS COMMITTEE No. 33-03 TRANSFER AGENT ADVISORY COMMITTEE No. 112-03 RE...

[16868] December 10, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 65-03 DIRECTOR SERVICES COMMITTEE No. 23-03 SEC RULES COMMITTEE No. 101-03 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC PROPOSAL TO PERMIT INCLUSION OF SECURITY HOLDER NOMINEES FOR DIRECTOR IN COMPANY PROXY...

[16861] December 9, 2003 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 14-03 SEC RULES COMMITTEE No. 100-03 SMALL FUNDS COMMITTEE No. 32-03 UNIT INVESTMENT TRUST COMMITTEE No. 23-03 RE: NASD PROPOSAL TO REQUIRE EXPENSE RATIOS IN INVESTMENT COMPANY PERFORMANCE ADVERTISING; DEC...

[16844] December 5, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 35-03 SEC RULES COMMITTEE No. 99-03 RE: SEC PROPOSES REGULATION SHO RELATING TO SHORT SALES The Securities and Exchange Commission has published for comment proposed Regulation SHO relating to short sales.1 Proposed...

[16818] November 26, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 63-03 SEC RULES COMMITTEE No. 97-03 RE: INSTITUTE DRAFT COMMENT LETTER ON NYSE’S AND NASDAQ’S PROPOSED CORPORATE GOVERNANCE REQUIREMENTS; YOUR VIEWS REQUESTED BY DECEMBER 2ND As we previously informed you, the...

[16823] November 26, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 33-03 SEC RULES COMMITTEE No. 98-03 RE: DRAFT INSTITUTE LETTER ON NYSE PROPOSAL RELATING TO THE EXCHANGE’S CORPORATE GOVERNANCE AND MANAGEMENT STRUCTURE As we previously informed you,1 the SEC has published for...

[16807] November 21, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 31-03 SEC RULES COMMITTEE No. 96-03 RE: SEC PUBLISHES NYSE PROPOSED RULE CHANGE RELATING TO THE EXCHANGE’S CORPORATE GOVERNANCE AND MANAGEMENT STRUCTURE The SEC has published for comment a proposed rule change filed...