SEC Rules Content

[16564] September 18, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 48-03 SEC RULES COMMITTEE No. 75-03 UNIT INVESTMENT TRUST COMMITTEE No. 17-03 RE: NASD CASH COMPENSATION DISCLOSURE PROPOSAL; SEPTEMBER 24TH CONFERENCE CALL NASD has issued proposed amendments to Rule 2830 that...

[16542] September 12, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 20-03 SEC RULES COMMITTEE No. 74-03 RE: NEW YORK STOCK EXCHANGE PROPOSED RULE CHANGE REPEALING NYSE RULE 500 RELATING TO THE DELISTING OF A SECURITY BY AN ISSUER The Securities and Exchange Commission has issued a...

[16519] September 10, 2003 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 12-03 SEC RULES COMMITTEE No. 73-03 UNIT INVESTMENT TRUST COMMITTEE No. 15-03 RE: ICI COMMENT LETTER ON SEC EXTENSION OF NASD PILOT PROGRAM FOR BOND MUTUAL FUND VOLATILITY RATINGS As we previously informed...

[16508] September 8, 2003 TO: SEC RULES COMMITTEE No. 72-03 RE: NOTICE OF SEC RULES COMMITTEE MEETING AND WEST COAST VIDEOCONFERENCE - OCTOBER 21, 2003 A meeting of the SEC Rules Committee has been scheduled for Tuesday, October 21st at the offices of the Investment Company Institute...

URGENT/ACTION REQUESTED [16503] September 5, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 47-03 SEC RULES COMMITTEE No. 71-03 RE: DRAFT ICI COMMENT LETTER ON SEC PROPOSAL TO REQUIRE DISCLOSURE RELATED TO DIRECTOR NOMINATIONS AND SHAREHOLDER COMMUNICATIONS As we previously...

[16489] September 3, 2003 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 11-03 SEC RULES COMMITTEE No. 70-03 UNIT INVESTMENT TRUST COMMITTEE No. 14-03 RE: SEC EXTENSION OF PILOT PROGRAM FOR BOND MUTUAL FUND VOLATILITY RATINGS; DRAFT ICI COMMENT LETTER In 2000, the Securities and...

[16472] August 26, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 64-03 MONEY LAUNDERING RULES WORKING GROUP No. 53-03 SEC RULES COMMITTEE No. 69-03 TRANSFER AGENT ADVISORY COMMITTEE No. 80-03 RE: CUSTOMER VERIFICATION AND THE FAIR CREDIT REPORTING ACT As you know, the customer...

[16295] July 14, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 40-03 BROKER/DEALER ADVISORY COMMITTEE No. 22-03 COMPLIANCE ADVISORY COMMITTEE No. 54-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-03 INTERNATIONAL COMMITTEE No. 43-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 30-03...

[16259] July 7, 2003 TO: INVESTMENT ADVISERS COMMITTEE No. 17-03 MONEY LAUNDERING RULES WORKING GROUP No. 45-03 SEC RULES COMMITTEE No. 64-03 RE: ICI COMMENT LETTER ON PROPOSED ANTI-MONEY LAUNDERING PROGRAM REQUIREMENT FOR INVESTMENT ADVISERS The Institute submitted a comment letter...

[16261] July 2, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 26-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 42-03 SEC RULES COMMITTEE No. 63-03 RE: JULY 14 CONFERENCE CALL ON DRAFT MODEL AUDIT COMMITTEE CHARTER Attached is a draft model audit committee charter that the Institute...