SEC Rules Content

[15624] February 6, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 7-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-03 SEC RULES COMMITTEE No. 13-03 RE: DRAFT ICI COMMENT LETTER ON SEC PROPOSAL REGARDING LISTED COMPANY AUDIT COMMITTEE STANDARDS As previously indicated, the Securities...

[15629] February 6, 2003 TO: SEC RULES COMMITTEE No. 15-03 SMALL FUNDS COMMITTEE No. 6-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-03 COMPLIANCE ADVISORY COMMITTEE No. 12-03 UNIT INVESTMENT TRUST COMMITTEE No. 5-03 RE: SEC PROPOSALS RELATING TO INVESTMENT COMPANY AND INVESTMENT...

[15627] February 6, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-03 MONEY LAUNDERING RULES WORKING GROUP No. 11-03 SEC RULES COMMITTEE No. 14-03 TRANSFER AGENT ADVISORY COMMITTEE No. 16-03 RE: INSTITUTE MAKES RECOMMENDATIONS TO TREASURY AML TASK FORCE As some of you may know, the...

[15623] February 5, 2003 TO: BOARD OF GOVERNORS No. 5-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-03 COMPLIANCE ADVISORY COMMITTEE No. 9-03 SEC RULES COMMITTEE No. 12-03 SMALL FUNDS COMMITTEE No. 5-03 RE: SEC ADOPTS RULES RELATING TO PROXY VOTING BY INVESTMENT COMPANIES AND...

[15582] January 28, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 6-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-03 SEC RULES COMMITTEE No. 10-03 SMALL FUNDS COMMITTEE No. 4-03 RE: DRAFT ICI COMMENT LETTER ON SEC PROPOSAL ON SHAREHOLDER REPORTS AND PORTFOLIO HOLDINGS DISCLOSURE...

[15536] January 16, 2003 TO: BOARD OF GOVERNORS No. 3-03 INVESTMENT COMPANY DIRECTORS No. 1-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 4-03 SEC RULES COMMITTEE No. 9-03 RE: PRELIMINARY PROGRAM FOR DIRECTORS’ WORKSHOP; MARK YOUR CALENDAR FOR 2003 DIRECTORS’ CONFERENCE Directors’ Workshop...

[15551] January 15, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 4-03 MONEY LAUNDERING RULES WORKING GROUP No. 3-03 SEC RULES COMMITTEE No. 7-03 TRANSFER AGENT ADVISORY COMMITTEE No. 4-03 RE: TREASURY PROPOSES MUTUAL FUND SUSPICIOUS ACTIVITY REPORTING RULE The Department of the...

[15552] January 15, 2003 TO: BOARD OF GOVERNORS No. 1-03 SEC RULES COMMITTEE No. 8-03 RE: CONGRESS REQUESTS GAO TO UPDATE ITS MUTUAL FUND FEE STUDY; CHAIRMAN OXLEY SPEECH Set forth below is a brief summary of two recent developments relating to mutual fund fess and other issues. GAO...

[15543] January 14, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 3-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-03 SEC RULES COMMITTEE No. 6-03 RE: SEC PROPOSAL REGARDING LISTED COMPANY AUDIT COMMITTEE STANDARDS The Securities and Exchange Commission has proposed a new rule, Rule...

[15527] January 9, 2003 TO: SEC RULES COMMITTEE No. 5-03 INVESTMENT ADVISERS COMMITTEE No. 2-03 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-03 COMPLIANCE ADVISORY COMMITTEE No. 1-03 RE: NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST The...