SEC Rules Content

[15226] October 2, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 19-02 INVESTMENT ADVISERS COMMITTEE No. 20-02 PENSION COMMITTEE No. 40-02 SEC RULES COMMITTEE No. 79-02 RE: ICI COMMENT LETTER ON NASD’S PROPOSED INTERPRETIVE MATERIAL REGARDING THE USE OF INVESTMENT ANALYSIS...

[15196] September 23, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 45-02 SEC RULES COMMITTEE No. 78-02 RE: INSTITUTE LETTER TO THE SEC WITH RESPECT TO CODES OF ETHICS AND FINANCIAL EXPERTS The recently-enacted Sarbanes-Oxley Act of 2002 contains several provisions that must be...

URGENT/ACTION REQUESTED [15183] September 17, 2002 TO: SEC RULES COMMITTEE No. 77-02 ACCOUNTING/TREASURERS COMMITTEE No. 44-02 RE: DRAFT INSTITUTE LETTER TO THE SEC WITH RESPECT TO CODES OF ETHICS AND FINANCIAL EXPERTS The recently-enacted Sarbanes-Oxley Act of 2002 contains several...

[15168] September 13, 2002 TO: SEC RULES COMMITTEE No. 76-02 COMPLIANCE ADVISORY COMMITTEE No. 76-02 INVESTMENT ADVISERS COMMITTEE No. 19-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-02 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED SEC REGULATION RELATING TO ANALYST...

[15159] September 11, 2002 TO: SEC RULES COMMITTEE No. 75-02 RE: NOTICE OF MEETING AND VIDEOCONFERENCE - OCTOBER 22, 2002 A meeting of the SEC Rules Committee has been scheduled for Tuesday, October 22nd at the offices of the Investment Company Institute, 1401 H Street, N.W...

URGENT/ACTION REQUESTED [15137] September 9, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 17-02 INVESTMENT ADVISERS COMMITTEE No. 17-02 PENSION COMMITTEE No. 37-02 SEC RULES COMMITTEE No. 73-02 RE: ICI DRAFT COMMENT LETTER ON NASD’S PROPOSED INTERPRETIVE MATERIAL REGARDING...

[15138] September 9, 2002 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 24-02 SEC RULES COMMITTEE No. 74-02 RE: SEC ESTABLISHES NASDAQ SUPERMONTAGE START DATE As we previously informed you,1 the SEC recently issued an order approving the beginning of the operation of Nasdaq’s SuperMontage...

[15134] September 6, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 38-02 COMPLIANCE ADVISORY COMMITTEE No. 74-02 INTERNATIONAL COMMITTEE No. 66-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 40-02 MONEY LAUNDERING RULES WORKING GROUP No. 53-02 OPERATIONS COMMITTEE No. 15-02 SEC...

[15100] September 5, 2002 TO: BOARD OF GOVERNORS No. 33-02 INVESTMENT COMPANY DIRECTORS No. 8-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 77-02 SEC RULES COMMITTEE No. 71-02 RE: 2002 INVESTMENT COMPANY DIRECTORS’ CONFERENCE - FINAL PROGRAM The Investment Company Institute is holding its...

[15099] September 4, 2002 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 21-02 SEC RULES COMMITTEE No. 70-02 RE: SEC APPROVES IMPLEMENTATION OF NASDAQ SUPERMONTAGE The SEC has issued an order1 approving the implementation and operation of Nasdaq’s SuperMontage. In particular, when the SEC...