SEC Rules Content

[15384] November 22, 2002 TO: INTERNATIONAL MEMBERS No. 30-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 55-02 MONEY LAUNDERING RULES WORKING GROUP No. 70-02 SEC RULES COMMITTEE No. 93-02 RE: ICI COMMENTS ON PROPOSED AML RULE FOR UNREGISTERED INVESTMENT COMPANIES In September...

[15362] November 18, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 51-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 45-02 SEC RULES COMMITTEE No. 91-02 RE: DRAFT COMMENT LETTER ON SEC PROPOSALS REGARDING FINANCIAL EXPERTS, CODES OF ETHICS AND INTERNAL CONTROLS; NOVEMBER 21ST...

[15331] November 5, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 44-02 INVESTMENT ADVISERS COMMITTEE No. 24-02 SEC RULES COMMITTEE No. 89-02 SMALL FUNDS COMMITTEE No. 16-02 RE: DRAFT INSTITUTE COMMENT LETTER ON SEC PROPOSALS RELATING TO PROXY VOTING; CONFERENCE CALL SCHEDULED...

[15304] October 28, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 42-02 COMPLIANCE ADVISORY COMMITTEE No. 95-02 SEC RULES COMMITTEE No. 87-02 RE: CFTC PROPOSES AMENDMENT TO RULE 4.5 AND ISSUES RELATED NO-ACTION POSITION The Commodity Futures Trading Commission has proposed an...

[15292] October 23, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 20-02 COMPLIANCE ADVISORY COMMITTEE No. 92-02 INVESTMENT ADVISERS COMMITTEE No. 23-02 SEC RULES COMMITTEE No. 86-02 RE: SEC SANCTIONS A FUND AND ITS ADVISER FOR STALE FUND PERFORMANCE INFORMATION ON THE FUND’S...

[15272] October 17, 2002 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 26-02 SEC RULES COMMITTEE No. 84-02 RE: SEC ANNOUNCES HEARINGS RELATING TO THE STRUCTURE OF THE U.S. EQUITY SECURITIES MARKETS The Securities and Exchange Commission has announced that they will hold several hearings...

[15264] October 16, 2002 TO: SEC RULES COMMITTEE No. 83-02 RE: SPECIAL MEETING TO BE HELD DURING THE 2002 SECURITIES LAW DEVELOPMENTS CONFERENCE As in the past, we have scheduled a meeting for members of the Institute’s SEC Rules Committee and several staff members from the SEC’s...

[15248] October 8, 2002 TO: SEC RULES COMMITTEE No. 81-02 INVESTMENT ADVISERS COMMITTEE No. 21-02 COMPLIANCE ADVISORY COMMITTEE No. 85-02 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED AIMR RESEARCH OBJECTIVITY STANDARDS As we previously informed you,1 the Association for Investment...

[15250] October 8, 2002 TO: SEC RULES COMMITTEE No. 82-02 RE: DRAFT AGENDA FOR OCTOBER 22ND MEETING AND CALIFORNIA VIDEOCONFERENCE Attached is the draft agenda for the SEC Rules Committee meeting scheduled for Tuesday, October 22nd. If there are other issues that you would like us to...

URGENT/ACTION REQUESTED [15238] October 4, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 46-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 39-02 COMPLIANCE ADVISORY COMMITTEE No. 83-02 SEC RULES COMMITTEE No. 80-02 UNIT INVESTMENT TRUST COMMITTEE No. 23-02 RE: ICI DRAFT COMMENT LETTERS...