SEC Rules Content

[16252] June 27, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 25-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 41-03 SEC RULES COMMITTEE No. 61-03 SMALL FUNDS COMMITTEE No. 24-03 UNIT INVESTMENT TRUST MEMBERS No. 19-03 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 2-03 RE: PCAOB...

[16250] June 27, 2003 TO: INVESTMENT ADVISERS COMMITTEE No. 16-03 MONEY LAUNDERING RULES WORKING GROUP No. 43-03 SEC RULES COMMITTEE No. 62-03 RE: DRAFT ICI COMMENT LETTER ON PROPOSED ANTI-MONEY LAUNDERING PROGRAM REQUIREMENT FOR INVESTMENT ADVISERS As previously indicated, the...

[16240] June 26, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 37-03 BROKER/DEALER ADVISORY COMMITTEE No. 20-03 COMPLIANCE ADVISORY COMMITTEE No. 50-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-03 INTERNATIONAL COMMITTEE No. 40-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 28-03...

[16236] June 25, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 19-03 COMPLIANCE ADVISORY COMMITTEE No. 49-03 MONEY LAUNDERING RULES WORKING GROUP No. 40-03 SEC RULES COMMITTEE No. 59-03 SMALL FUNDS COMMITTEE No. 22-03 TRANSFER AGENT ADVISORY COMMITTEE No. 62-03 RE: ICI REQUEST FOR...

[16222] June 19, 2003 TO: OPERATIONS COMMITTEE No. 10-03 SEC RULES COMMITTEE No. 58-03 TRANSFER AGENT ADVISORY COMMITTEE No. 60-03 RE: SEC PROPOSES RULE AMENDMENTS CLARIFYING THE USE OF ELECTRONIC RECORDS BY TRANSFER AGENTS The Securities and Exchange Commission has proposed...

[16199] June 12, 2003 TO: SEC RULES COMMITTEE No. 57-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 40-03 INVESTMENT ADVISERS COMMITTEE No. 14-03 RE: DRAFT INSTITUTE LETTER ON NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST As we previously...

[16186] June 10, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 14-03 SEC RULES COMMITTEE No. 55-03 RE: DRAFT INSTITUTE LETTER ON SEC CONCEPT RELEASE REGARDING THE REGULATION OF NASDAQ-LISTED SECURITIES As we previously informed you, the SEC has issued a concept release requesting...

[16165] June 5, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 22-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 38-03 COMPLIANCE ADVISORY COMMITTEE No. 43-03 INVESTMENT ADVISERS COMMITTEE No. 12-03 OPERATIONS COMMITTEE No. 9-03 SEC RULES COMMITTEE No. 54-03 SMALL FUNDS COMMITTEE No. 21...

[16160] June 4, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 42-03 SEC RULES COMMITTEE No. 52-03 SMALL FUNDS COMMITTEE No. 19-03 RE: NASD PROPOSAL TO REQUIRE CEO AND CHIEF COMPLIANCE OFFICER CERTIFICATION OF COMPLIANCE POLICIES AND PROCEDURES The National Association of Securities...

URGENT/ACTION REQUESTED [16159] June 4, 2003 TO: SEC RULES COMMITTEE No. 53-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 37-03 RE: VIEWS REQUESTED ON DRAFT LETTER TO SEC REGARDING REVIEW OF PROXY PROCESS The Securities and Exchange Commission recently announced that it directed the...