SEC Rules Content

[16801] November 21, 2003 TO: SEC RULES COMMITTEE No. 95-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 62-03 UNIT INVESTMENT TRUST COMMITTEE No. 22-03 RE: DRAFT INSTITUTE COMMENT LETTER ON SEC PROPOSAL RELATING TO FUND OF FUNDS INVESTMENTS As we previously informed you,1 the...

[16784] November 19, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 61-03 SEC RULES COMMITTEE No. 94-03 RE: SEC PROPOSES, AND GRANTS ACCELERATED APPROVAL TO, NYSE AND NASDAQ CORPORATE GOVERNANCE RULE PROPOSALS The Securities and Exchange Commission has solicited comments on...

[16778] November 18, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 60-03 SEC RULES COMMITTEE No. 93-03 RE: INSTITUTE DRAFT COMMENT LETTER ON AMEX’S PROPOSED CORPORATE GOVERNANCE REQUIREMENTS; YOUR VIEWS REQUESTED BY NOVEMBER 20TH As we previously informed you, the Securities...

[16777] November 18, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 59-03 COMPLIANCE ADVISORY COMMITTEE No. 98-03 SEC RULES COMMITTEE No. 91-03 UNIT INVESTMENT TRUST COMMITTEE No. 21-03 RE: INFORMATION TO ASSIST COMPLIANCE WITH THE SEC LETTER REGARDING CERTAIN GOVERNMENT...

[16776] November 18, 2003 TO: BOARD OF GOVERNORS No. 62-03 CEOS ACCOUNTING/TREASURERS COMMITTEE No. 36-03 BROKER/DEALER ADVISORY COMMITTEE No. 32-03 COMPLIANCE ADVISORY COMMITTEE No. 100-03 FEDERAL LEGISLATION MEMBERS No. 23-03 INVESTMENT COMPANY DIRECTORS No. 18-03 OPERATIONS...

[16768] November 12, 2003 TO: SEC RULES COMMITTEE No. 90-03 RE: SPECIAL MEETING TO BE HELD DURING THE 2003 SECURITIES LAW DEVELOPMENTS CONFERENCE As in the past, we have scheduled a meeting for members of the Institute’s SEC Rules Committee and several staff members for the SEC’s...

[16770] November 12, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 58-03 SEC RULES COMMITTEE No. 89-03 RE: SEC PUBLISHES FOR COMMENT AMEX’S PROPOSED CORPORATE GOVERNANCE REQUIREMENTS; COMMENTS DUE NOVEMBER 21ST The Securities and Exchange Commission has published for comment an...

[16723] October 31, 2003 TO: SEC RULES COMMITTEE No. 88-03 PENSION COMMITTEE No. 42-03 OPERATIONS COMMITTEE No. 23-03 ACCOUNTING/TREASURERS COMMITTEE No. 34-03 COMPLIANCE ADVISORY COMMITTEE No. 93-03 RE: INSTITUTE RECOMMENDATIONS REGARDING LATE TRADING AND MARKET TIMING The Institute...

ACTION REQUESTED [16712] October 30, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 57-03 SEC RULES COMMITTEE No. 87-03 RE: DRAFT INSTITUTE COMMENT LETTER ON AMEX PROPOSAL REQUIRING SHAREHOLDER APPROVAL OF EQUITY COMPENSATION PLANS; VIEWS REQUESTED BY NOVEMBER 4TH As we...

[16705] October 27, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 56-03 SEC RULES COMMITTEE No. 86-03 RE: SEC PROPOSES MANAGER OF MANAGERS RULE UNDER THE INVESTMENT COMPANY ACT OF 1940 The Securities and Exchange Commission has proposed new Rule 15a-5 under the Investment...