SEC Rules Content

[15097] September 4, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-02 COMPLIANCE ADVISORY COMMITTEE No. 72-02 SEC RULES COMMITTEE No. 69-02 RE: INSTITUTE FILES SUPPLEMENTAL COMMENT LETTER ON PROPOSED AMENDMENTS TO RULE 17f-4 As we previously informed you, the Securities and...

[15061] August 22, 2002 TO: SEC RULES COMMITTEE No. 67-02 COMPLIANCE ADVISORY COMMITTEE No. 63-02 INVESTMENT ADVISERS COMMITTEE No. 16-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-02 RE: PROPOSED SEC REGULATION RELATING TO ANALYST CERTIFICATION The Securities and Exchange...

ACTION REQUESTED [15056] August 20, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 15-02 INVESTMENT ADVISERS COMMITTEE No. 15-02 PENSION COMMITTEE No. 33-02 SEC RULES COMMITTEE No. 65-02 RE: NASD PROPOSED INTERPRETIVE MATERIAL REGARDING INVESTMENT ANALYSIS TOOLS NASD has...

URGENT/ACTION REQUESTED [15023] August 12, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 40-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-02 COMPLIANCE ADVISORY COMMITTEE No. 59-02 SEC RULES COMMITTEE No. 64-02 UNIT INVESTMENT TRUST COMMITTEE No. 21-02 RE: ICI DRAFT COMMENT LETTER...

[14977] August 1, 2002 TO: SEC RULES COMMITTEE No. 63-02 BOARD OF GOVERNORS No. 29-02 RE: ICI SUBMISSION ON RELEVANCE OF SEC CORPORATE DISCLOSURE INITIATIVES TO FREQUENCY OF FUND PORTFOLIO HOLDINGS DISCLOSURE As you know, the ICI has expressed strong opposition to various rulemaking...

[14962] July 26, 2002 TO: SEC RULES COMMITTEE No. 62-02 INVESTMENT ADVISERS COMMITTEE No. 14-02 COMPLIANCE ADVISORY COMMITTEE No. 53-02 RE: PROPOSED AIMR RESEARCH OBJECTIVITY STANDARDS The Association for Investment Management and Research (“AIMR”) has published for comment proposed...

[14937] July 19, 2002 TO: SEC RULES COMMITTEE No. 60-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 29-02 CORPORATE GOVERNANCE & DISCLOSURE WORKING GROUP No. 17-02 RE: ICI COMMENT LETTERS ON REPORT OF NYSE COMMITTEE ON CORPORATE ACCOUNTABILITY AND LISTING STANDARDS As we previously...

[14926] July 16, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 12-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-02 SEC RULES COMMITTEE No. 58-02 SMALL FUNDS COMMITTEE No. 10-02 UNIT INVESTMENT TRUST COMMITTEE No. 19-02 RE: ICI DRAFT COMMENT LETTER ON SEC’S PROPOSED...

[14907] July 15, 2002 TO: BOARD OF GOVERNORS No. 24-02 INVESTMENT COMPANY DIRECTORS No. 6-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 55-02 SEC RULES COMMITTEE No. 57-02 RE: 2002 INVESTMENT COMPANY DIRECTORS’ CONFERENCE - PRELIMINARY PROGRAM The Investment Company Institute is holding...

[14839] June 27, 2002 TO: SEC RULES COMMITTEE No. 50-02 INVESTMENT ADVISERS COMMITTEE No. 10-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 25-02 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC RULE PROPOSALS REGARDING TRANSACTIONS WITH PORTFOLIO AND SUBADVISORY AFFILIATES As we previously...