SEC Rules Content

[16681] October 22, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 55-03 SEC RULES COMMITTEE No. 85-03 RE: SEC PROPOSAL TO PERMIT INCLUSION OF SECURITY HOLDER NOMINEES FOR DIRECTOR IN COMPANY PROXY MATERIALS Over the past several months, the Securities and Exchange Commission...

[16679] October 17, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 54-03 SEC RULES COMMITTEE No. 84-03 RE: SEC PROPOSES, AND GRANTS ACCELERATED APPROVAL TO, AMEX PROPOSAL REQUIRING SHAREHOLDER APPROVAL OF EQUITY COMPENSATION PLANS The Securities and Exchange Commission has...

[16669] October 15, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 52-03 COMPLIANCE ADVISORY COMMITTEE No. 86-03 SEC RULES COMMITTEE No. 83-03 RE: OCTOBER 29TH CONFERENCE CALL TO DISCUSS DRAFT COMPLIANCE PAPER RELATED TO THE SIDE-BY-SIDE MANAGEMENT OF REGISTERED FUNDS AND...

[16667] October 14, 2003 TO: OPERATIONS COMMITTEE No. 22-03 SEC RULES COMMITTEE No. 82-03 SMALL FUNDS COMMITTEE No. 27-03 RE: INSTITUTE DRAFT COMMENT LETTER ON REVISED NASD BUSINESS CONTINUITY PLAN RULE PROPOSAL The Investment Company Institute has prepared a draft comment letter...

[16663] October 14, 2003 TO: SEC RULES COMMITTEE No. 81-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 51-03 UNIT INVESTMENT TRUST COMMITTEE No. 20-03 RE: SEC PROPOSAL RELATING TO FUND OF FUNDS INVESTMENTS The SEC has proposed three new rules under the Investment Company Act of 1940 (...

[16627] October 7, 2003 TO: SEC RULES COMMITTEE No. 79-03 RE: DRAFT AGENDA FOR OCTOBER 21 SEC RULES COMMITTEE MEETING AND CALIFORNIA VIDEOCONFERENCE Attached is the draft agenda for the SEC Rules Committee meeting scheduled for Tuesday, October 21st. If there are other issues that you...

[16623] October 7, 2003 TO: OPERATIONS COMMITTEE No. 21-03 SEC RULES COMMITTEE No. 80-03 SMALL FUNDS COMMITTEE No. 26-03 UNIT INVESTMENT TRUST MEMBERS No. 33-03 RE: SEC REQUEST FOR COMMENTS ON REVISED NASD BUSINESS CONTINUITY PLAN RULE PROPOSAL The Securities and Exchange Commission...

ACTION REQUESTED [16597] October 1, 2003 TO: SEC RULES COMMITTEE No. 78-03 RE: PROPOSED IMPLEMENTATION OF RECOMMENDATIONS TO ENHANCE PROSPECTUS AND WEBSITE DISCLOSURE OF SALES CHARGE BREAKPOINTS I. BACKGROUND In July, the Joint NASD/Industry Task Force on Breakpoints issued a report...

[16596] October 1, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 50-03 SEC RULES COMMITTEE No. 77-03 UNIT INVESTMENT TRUST COMMITTEE No. 18-03 RE: DRAFT ICI COMMENT LETTER ON NASD CASH COMPENSATION DISCLOSURE PROPOSAL; OCTOBER 9TH CONFERENCE CALL As previously indicated, NASD...

[16581] September 26, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 21-03 SEC RULES COMMITTEE No. 76-03 RE: DRAFT INSTITUTE COMMENT LETTER ON NYSE PROPOSED RULE CHANGE REPEALING RULE 500 As we previously informed you, the SEC has issued a notice of the filing of a proposed rule...