SEC Rules Content

[14161] November 19, 2001 TO: SEC RULES COMMITTEE No. 91-01 INVESTMENT ADVISERS COMMITTEE No. 26-01 COMPLIANCE ADVISORY COMMITTEE No. 57-01 EQUITY MARKETS ADVISORY COMMITTEE No. 46-01 RE: PROPOSED AIMR TRADE MANAGEMENT GUIDELINES The Association for Investment Management and Research...

[14137] November 13, 2001 TO: SEC RULES COMMITTEE No. 90-01 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-01 RE: SEC PROPOSED AMENDMENTS TO RULE 17A-8 UNDER THE INVESTMENT COMPANY ACT The Securities and Exchange Commission has proposed amendments to Rule 17a-8 under the Investment...

[14132] November 13, 2001 TO: SEC RULES COMMITTEE No. 89-01 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19-01 UNIT INVESTMENT TRUST COMMITTEE No. 24-01 RE: SEC ISSUES CONCEPT RELEASE ON ACTIVELY MANAGED EXCHANGE TRADED FUNDS; CONFERENCE CALL SCHEDULED FOR DEC. 4 TO DISCUSS RELEASE The...

[14115] November 8, 2001 TO: SEC RULES COMMITTEE No. 88-01 RE: POSSIBLE SUBMISSION OF REGULATORY PROPOSALS TO SEC At the SEC Rules Committee meeting held on October 30, 2001, Institute staff reported that SEC Chairman Harvey Pitt has invited the industry to make recommendations for...

[14111] November 6, 2001 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 40-01 SEC RULES COMMITTEE No. 87-01 RE: DRAFT INSTITUTE COMMENT LETTER ON SEC SUBPENNY CONCEPT RELEASE As we previously informed you,1 the Securities and Exchange Commission has issued a concept release requesting...

[14100] October 31, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 52-01 INTERNAL AUDIT ADVISORY COMMITTEE No. 7-01 INTERNATIONAL COMMITTEE No. 58-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 13-01 SEC RULES COMMITTEE No. 86-01 SMALL FUNDS COMMITTEE No. 17-01 TRANSFER AGENT ADVISORY...

[14090] October 31, 2001 TO: SEC RULES COMMITTEE No. 85-01 RE: SPECIAL MEETING TO BE HELD DURING THE 2001 SECURITIES LAW DEVELOPMENTS CONFERENCE As in the past, we have scheduled a meeting for members of the Institute’s SEC Rules Committee and several staff members from the SEC’s...

[14066] October 18, 2001 TO: BOARD OF GOVERNORS No. 53-01 INVESTMENT ADVISERS COMMITTEE No. 24-01 SEC RULES COMMITTEE No. 84-01 RE: ICI RESPONSE TO SEC’S DENIAL OF RULEMAKING PETITION CONCERNING PORTFOLIO INVESTMENT PROGRAMS As we previously informed you, in August 2001 the Securities...

[14054] October 16, 2001 TO: SEC RULES COMMITTEE No. 83-01 RE: DRAFT AGENDA FOR OCTOBER 30TH MEETING Attached is the draft agenda for the SEC Rules Committee meeting scheduled for Tuesday, October 30th at 11:00 a.m. Eastern time in the David Silver Conference Room at the Institute. If...

[14052] October 15, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-01 COMPLIANCE ADVISORY COMMITTEE No. 49-01 OPERATIONS COMMITTEE No. 31-01 PRIVACY ISSUES WORKING GROUP No. 2-01 SEC RULES COMMITTEE No. 82-01 SMALL FUNDS COMMITTEE No. 16-01 TECHNOLOGY ADVISORY COMMITTEE No...