SEC Rules Content

[14422] February 1, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 5-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-02 SEC RULES COMMITTEE No. 12-02 UNIT INVESTMENT TRUST COMMITTEE No. 5-02 RE: ICI DRAFT COMMENT LETTER ON AMENDMENTS PROPOSED TO NASDR’S RULES RELATING TO...

[14419] February 1, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 4-02 COMPLIANCE ADVISORY COMMITTEE No. 9-02 INVESTMENT ADVISERS COMMITTEE No. 2-02 SEC RULES COMMITTEE No. 11-02 RE: DC COURT HOLDS FEDERAL TRADE COMMISSION NOT BARRED FROM INVESTIGATING SEC REGISTRANT’S...

[14410] January 30, 2002 TO: SEC RULES COMMITTEE No. 10-02 INVESTMENT ADVISERS COMMITTEE No. 1-02 COMPLIANCE ADVISORY COMMITTEE No. 7-02 EQUITY MARKETS ADVISORY COMMITTEE No. 5-02 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED AIMR TRADE MANAGEMENT GUIDELINES As we previously informed...

[14355] January 22, 2002 TO: SEC RULES COMMITTEE No. 8-02 RE: NOTICE OF MEETING -- FEBRUARY 26, 2002; NEW MEETING TIME AND TEST OF WEST COAST VIDEOCONFERENCING A meeting of the SEC Rules Committee has been scheduled for Tuesday, February 26th at the offices of the Investment Company...

[14375] January 18, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-02 SEC RULES COMMITTEE No. 7-02 RE: INSTITUTE COMMENT LETTER ON SEC PROPOSAL TO AMEND RULE 17a-8 UNDER THE INVESTMENT COMPANY ACT OF 1940 The Institute has filed a comment letter with the Securities and...

[14366] January 16, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-02 COMPLIANCE ADVISORY COMMITTEE No. 5-02 SEC RULES COMMITTEE No. 6-02 TRANSFER AGENT ADVISORY COMMITTEE No. 5-02 UNIT INVESTMENT TRUST COMMITTEE No. 3-02 RE: INSTITUTE DRAFT COMMENT LETTER ON PROPOSED...

[14364] January 16, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 4-02 SEC RULES COMMITTEE No. 5-02 RE: SEC CENSURES AUDITOR FOR INDEPENDENCE VIOLATION The SEC recently censured KPMG LLP for engaging in improper professional conduct because it purported to serve as an independent...

[14359] January 15, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-02 SEC RULES COMMITTEE No. 4-02 UNIT INVESTMENT TRUST COMMITTEE No. 2-02 RE: INSTITUTE COMMENT LETTER ON SEC CONCEPT RELEASE ON ACTIVELY MANAGED EXCHANGE - TRADED FUNDS As we previously advised you, in November...

[14349] January 14, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 4-02 EQUITY MARKETS ADVISORY COMMITTEE No. 4-02 SEC RULES COMMITTEE No. 3-02 RE: SPECIAL NASD NOTICE TO MEMBERS REGARDING COMPENSATION AND MIXED CAPACITY TRADING The Nasdaq Stock Market and NASD Regulation recently issued...

[14308] January 8, 2002 TO: BOARD OF GOVERNORS No. 2-02 SEC RULES COMMITTEE No. 2-02 RE: INSTITUTE LETTER TO SEC REGARDING THE REGULATION OF RISKLESS PRINCIPAL TRANSACTIONS UNDER THE INVESTMENT COMPANY ACT The Institute recently sent a letter to the Securities and Exchange Commission...