SEC Rules Content

ACTION REQUESTED [14676] April 26, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-02 SEC RULES COMMITTEE No. 34-02 CORPORATE GOVERNANCE AND DISCLOSURE WORKING GROUP RE: SEC PROPOSAL TO ACCELERATE FILING OF FORMS 10-K AND 10-Q UNDER THE SECURITIES EXCHANGE ACT OF 1934 The Securities...

[14660] April 22, 2002 TO: OPERATIONS COMMITTEE No. 5-02 SEC RULES COMMITTEE No. 33-02 SMALL FUNDS COMMITTEE No. 3-02 TECHNOLOGY ADVISORY COMMITTEE No. 4-02 RE: NASD PROPOSED RULE ON BUSINESS CONTINUITY PLANS AND EMERGENCY CONTACT INFORMATION The National Association of Securities...

[14649] April 18, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 17-02 SEC RULES COMMITTEE No. 32-02 RE: ICI COMMENT LETTER ON PROPOSED RESTRUCTURING OF THE FASB The Institute recently filed a comment letter on the proposed restructuring of the Financial Accounting Standards Board. The...

[14650] April 18, 2002 TO: SEC RULES COMMITTEE No. 31-02 COMPLIANCE ADVISORY COMMITTEE No. 35-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 16-02 RE: INSTITUTE LETTER ON NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST The Institute has filed a...

[14489] April 11, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 15-02 DIRECT MARKETING COMMITTEE No. 10-02 INTERNATIONAL MEMBERS No. 8-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 14-02 OPERATIONS MEMBERS No. 10-02 PENSION MEMBERS No. 15-02 PRIMARY CONTACTS - MEMBER COMPLEX No...

[14604] April 8, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-02 SEC RULES COMMITTEE No. 29-02 RE: DRAFT ICI REGULATORY REFORM PROPOSALS In connection with plans to undertake a comprehensive review of the federal securities laws, SEC Chairman Harvey Pitt has invited the...

[14616] April 5, 2002 TO: SEC RULES COMMITTEE No. 28-02 RE: INSTITUTE LETTER ON REVIEW OF DIVISION OF INVESTMENT MANAGEMENT The Institute has sent a letter to SEC Division of Investment Management Director Paul Roye (a copy of which is attached) offering its views on how the Division...

[14602] April 3, 2002 TO: SEC RULES COMMITTEE No. 26-02 COMPLIANCE ADVISORY COMMITTEE No. 29-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-02 RE: EXTENSION OF COMMENT PERIOD ON NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST As we previously...

[14601] April 3, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 8-02 COMPLIANCE ADVISORY COMMITTEE No. 30-02 INTERNATIONAL COMMITTEE No. 25-02 MONEY LAUNDERING RULES WORKING GROUP No. 18-02 SEC RULES COMMITTEE No. 27-02 TRANSFER AGENT ADVISORY COMMITTEE No. 28-02 RE: ICI COMMENT LETTER...

[14584] March 27, 2002 TO: SEC RULES COMMITTEE No. 25-02 COMPLIANCE ADVISORY COMMITTEE No. 28-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-02 RE: DRAFT INSTITUTE LETTER ON NASD AND NYSE PROPOSED RULE CHANGES RELATING TO RESEARCH ANALYST CONFLICTS OF INTEREST As we previously...