SEC Rules Content

[15451] December 13, 2002 TO: SEC RULES COMMITTEE No. 104-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 53-02 COMPLIANCE ADVISORY COMMITTEE No. 112-02 INVESTMENT ADVISERS COMMITTEE No. 30-02 UNIT INVESTMENT TRUST COMMITTEE No. 31-02 RE: DRAFT INSTITUTE LETTER ON SEC PROPOSAL TO...

[15434] December 9, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 53-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 52-02 SEC RULES COMMITTEE No. 102-02 UNIT INVESTMENT TRUST COMMITTEE No. 29-02 RE: SEC RULE PROPOSALS ON AUDITOR INDEPENDENCE AND AUDIT COMMITTEE ADMINISTRATION OF THE...

[15432] December 6, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 51-02 PENSION COMMITTEE No. 48-02 PENSION OPERATIONS ADVISORY COMMITTEE No. 81-02 SEC RULES COMMITTEE No. 101-02 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC PROPOSAL REGARDING INSIDER TRADES DURING PENSION BLACKOUT...

[15410] December 2, 2002 TO: SEC RULES COMMITTEE No. 99-02 RE: SEC PROPOSAL TO EXEMPT CERTAIN RESEARCH & DEVELOPMENT COMPANIES FROM DEFINITION OF INVESTMENT COMPANY The Securities and Exchange Commission has proposed Rule 3a-8 under the Investment Company Act of 1940, which would...

[15399] November 27, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 48-02 COMPLIANCE ADVISORY COMMITTEE No. 107-02 SEC RULES COMMITTEE No. 97-02 RE: INSTITUTE DRAFT LETTER ON AMENDMENTS PROPOSED BY CFTC TO RULE 4.5 TO FACILITATE TRADING OF STOCK FUTURES BY INVESTMENT COMPANIES...

[15397] November 27, 2002 TO: SEC RULES COMMITTEE No. 98-02 COMPLIANCE ADVISORY COMMITTEE No. 108-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 49-02 INVESTMENT ADVISERS COMMITTEE No. 29-02 UNIT INVESTMENT TRUST COMMITTEE No. 27-02 RE: SEC PROPOSAL TO IMPLEMENT STANDARDS OF...

[15398] November 26, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 52-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 47-02 INVESTMENT ADVISERS COMMITTEE No. 28-02 SEC RULES COMMITTEE No. 96-02 SMALL FUNDS COMMITTEE No. 20-02 UNIT INVESTMENT TRUST COMMITTEE No. 26-02 RE: SEC PROPOSAL ON...

[15396] November 26, 2002 TO: BOARD OF GOVERNORS No. 38-02 INVESTMENT COMPANY DIRECTORS No. 9-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 95-02 SEC RULES COMMITTEE No. 95-02 RE: MARK YOUR CALENDAR - DIRECTORS’ WORKSHOP ON APRIL 8, 2003 The Investment Company Institute is pleased to offer...

[15379] November 25, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 46-02 INVESTMENT ADVISERS COMMITTEE No. 27-02 SEC RULES COMMITTEE No. 94-02 SMALL FUNDS COMMITTEE No. 19-02 RE: SECOND DRAFT INSTITUTE COMMENT LETTER ON SEC PROPOSALS RELATING TO PROXY VOTING Attached for your...

[15373] November 22, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 106-02 EQUITY MARKETS ADVISORY COMMITTEE No. 29-02 INVESTMENT ADVISERS COMMITTEE No. 26-02 SEC RULES COMMITTEE No. 92-02 RE: AIMR ADOPTS TRADE MANAGEMENT GUIDELINES The Association for Investment Management and Research (...