SEC Rules Content

[16143] June 2, 2003 TO: SEC RULES COMMITTEE No. 51-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-03 INVESTMENT ADVISERS COMMITTEE No. 11-03 RE: NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST The Securities and Exchange Commission has...

[16144] June 2, 2003 TO: SEC RULES COMMITTEE No. 50-03 RE: DRAFT AGENDA FOR JUNE 17TH MEETING AND CALIFORNIA VIDEOCONFERENCE Attached is the draft agenda for the SEC Rules Committee meeting scheduled for Tuesday, June 17th. If there are other issues that you would like us to include...

[16135] June 2, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 11-03 SEC RULES COMMITTEE No. 49-03 RE: NASDAQ RULEMAKING PETITION TO REPEAL NYSE RULE 500 The Nasdaq Stock Market has filed a petition for rulemaking with the Securities and Exchange Commission to repeal New York Stock...

[16103] May 21, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 19-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-03 COMPLIANCE ADVISORY COMMITTEE No. 37-03 SEC RULES COMMITTEE No. 47-03 SMALL FUNDS COMMITTEE No. 17-03 RE: ICI COMMENT LETTER ON SEC PROPOSAL REGARDING CERTIFICATIONS...

[16102] May 21, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 9-03 SEC RULES COMMITTEE No. 48-03 RE: SEC CONCEPT RELEASE REGARDING THE REGULATION OF NASDAQ-LISTED SECURITIES The Securities and Exchange Commission has issued a request for comment on a petition submitted by the Nasdaq...

[16091] May 20, 2003 TO: SEC RULES COMMITTEE No. 46-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-03 RE: VIEWS ON DRAFT SAMPLE CODE OF ETHICS REQUESTED BY MAY 27, 2003 Attached to this memorandum is a draft sample code of ethics that has been prepared to assist Investment Company...

[16029] May 9, 2003 TO: SEC RULES COMMITTEE No. 45-03 RE: NOTICE OF MEETING AND WEST COAST VIDEOCONFERENCE - JUNE 17, 2003 A meeting of the SEC Rules Committee has been scheduled for Tuesday, June 17th at the offices of the Investment Company Institute, 1401 H Street, N.W., Washington...

[16020] May 6, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-03 COMPLIANCE ADVISORY COMMITTEE No. 34-03 SEC RULES COMMITTEE No. 43-03 SMALL FUNDS COMMITTEE No. 16-03 RE: DRAFT ICI COMMENT LETTER ON SEC PROPOSAL REGARDING...

[15974] April 29, 2003 TO: INVESTMENT ADVISERS COMMITTEE No. 9-03 MONEY LAUNDERING RULES WORKING GROUP No. 26-03 SEC RULES COMMITTEE No. 42-03 RE: TREASURY PROPOSES INVESTMENT ADVISER AML PROGRAM RULE The Bank Secrecy Act, as amended by the USA PATRIOT Act, requires certain financial...

[15967] April 29, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 31-03 SEC RULES COMMITTEE No. 41-03 RE: ICI COMMENT LETTER ON PROPOSED AMENDMENTS TO CFTC RULE 4.5 As we previously advised you, in March, the Commodity Futures Trading Commission proposed for comment revisions to...