SEC Rules Content

[14297] January 4, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 1-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-02 SEC RULES COMMITTEE No. 1-02 UNIT INVESTMENT TRUST COMMITTEE No. 1-02 RE: SEC REQUESTS COMMENT ON NASDR’S PROPOSED AMENDMENTS TO NASD RULES GOVERNING...

[14285] December 31, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 26-01 INVESTMENT ADVISERS COMMITTEE No. 28-01 SEC RULES COMMITTEE No. 100-01 UNIT INVESTMENT TRUST COMMITTEE No. 29-01 RE: SEC SEMI-ANNUAL REGULATORY AGENDA The Securities and Exchange Commission has published...

[14274] December 21, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 25-01 SEC RULES COMMITTEE No. 99-01 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC PROPOSED AMENDMENTS TO RULE 17a-8 UNDER THE INVESTMENT COMPANY ACT As we previously informed you, the Securities and Exchange...

[14273] December 21, 2001 TO: SEC RULES COMMITTEE No. 98-01 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-01 UNIT INVESTMENT TRUST COMMITTEE No. 28-01 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC CONCEPT RELEASE ON ACTIVELY MANAGED EXCHANGE TRADED FUNDS As we previously advised you...

[14232] December 14, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 65-01 SEC RULES COMMITTEE No. 97-01 INVESTMENT IN BANK SECURITIES WORKING GROUP RE: FEDERAL RESERVE BOARD LETTER REGARDING FUNDS’ INVESTMENTS IN BANKING ORGANIZATIONS As we previously informed you,1 the Institute and...

[14186] November 29, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 61-01 EQUITY MARKETS ADVISORY COMMITTEE No. 50-01 INVESTMENT ADVISERS COMMITTEE No. 27-01 SEC RULES COMMITTEE No. 96-01 RE: CONFERENCE CALL REGARDING PROPOSED AIMR TRADE MANAGEMENT GUIDELINES SCHEDULED FOR DECEMBER 17 As...

[14175] November 26, 2001 TO: ELECTRONIC COMMERCE ADVISORY COMMITTEE No. 15-01 SEC RULES COMMITTEE No. 94-01 TECHNOLOGY ADVISORY COMMITTEE No. 13-01 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 4-01 RE: SEC ORDER AND STATEMENT CONCERNING REGISTRATION STATEMENT OF AN ALL...

[14181] November 26, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 22-01 COMPLIANCE ADVISORY COMMITTEE No. 60-01 SEC RULES COMMITTEE No. 95-01 TRANSFER AGENT ADVISORY COMMITTEE No. 95-01 UNIT INVESTMENT TRUST COMMITTEE No. 27-01 RE: SEC PROPOSES RULE AMENDMENTS RELATING TO...

[14171] November 21, 2001 TO: SEC RULES COMMITTEE No. 93-01 EQUITY MARKETS ADVISORY COMMITTEE No. 48-01 RE: INSTITUTE COMMENT LETTER ON SEC SUBPENNY CONCEPT RELEASE The Institute has filed a comment letter (a copy of which is attached) with the Securities and Exchange Commission on...

[14164] November 19, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 21-01 SEC RULES COMMITTEE No. 92-01 UNIT INVESTMENT TRUST COMMITTEE No. 25-01 RE: DATE CHANGE FOR CONFERENCE CALL ON ACTIVELY MANAGED EXCHANGE TRADED FUNDS As we previously advised you, the Institute had...