SEC Rules Content

[13935] September 10, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-01 COMPLIANCE ADVISORY COMMITTEE No. 37-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 59-01 SEC RULES COMMITTEE No. 71-01 SMALL FUNDS COMMITTEE No. 11-01 RE: MODEL QUESTIONNAIRE FOR INVESTMENT COMPANY DIRECTORS...

[13932] September 7, 2001 TO: SEC RULES COMMITTEE No. 70-01 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 16-01 UNIT INVESTMENT TRUST COMMITTEE No. 20-01 RE: SEC EXTENDS THE PILOT PROGRAM FOR BOND MUTUAL FUND VOLATILITY RATINGS; DRAFT ICI COMMENT LETTER The Securities and Exchange...

[13900] August 30, 2001 TO: BOARD OF GOVERNORS No. 42-01 INVESTMENT COMPANY DIRECTORS No. 9-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 56-01 SEC RULES COMMITTEE No. 69-01 RE: 2001 INVESTMENT COMPANY DIRECTORS CONFERENCE - FINAL PROGRAM The Investment Company Institute is holding its...

[13890] August 24, 2001 TO: BOARD OF GOVERNORS No. 41-01 INVESTMENT ADVISERS COMMITTEE No. 22-01 SEC RULES COMMITTEE No. 68-01 RE: SEC DENIES ICI RULEMAKING PETITION CONCERNING PORTFOLIO INVESTMENT PROGRAMS As we previously informed you, in March 2001 the Institute submitted a...

[13883] August 23, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 21-01 SEC RULES COMMITTEE No. 67-01 RE: SEC AND CFTC ADOPT RULES IMPLEMENTING COMMODITY FUTURES MODERNIZATION ACT OF 2000 As we previously advised you, in May the Securities and Exchange Commission (SEC) and the Commodity...

[13856] August 15, 2001 TO: SEC RULES COMMITTEE No. 66-01 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 13-01 INVESTMENT ADVISERS COMMITTEE No. 20-01 RE: INSTITUTE COMMENT LETTER ON NASDR PROPOSAL ON REQUIRED DISCLOSURES FOR SECURITIES RECOMMENDATIONS The Institute has filed a comment...

[13814] August 8, 2001 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 28-01 SEC RULES COMMITTEE No. 65-01 RE: EXTENSION OF COMMENT PERIOD ON NASDAQ APPLICATION FOR REGISTRATION AS A NATIONAL SECURITIES EXCHANGE As we previously informed you,1 the Securities and Exchange Commission has...

[13781] July 30, 2001 TO: SEC RULES COMMITTEE No. 64-01 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 12-01 INVESTMENT ADVISERS COMMITTEE No. 19-01 RE: DRAFT INSTITUTE COMMENT LETTER ON NASDR PROPOSAL ON REQUIRED DISCLOSURES FOR SECURITIES RECOMMENDATIONS As we previously informed you...

[13775] July 26, 2001 TO: BOARD OF GOVERNORS No. 37-01 INVESTMENT ADVISERS COMMITTEE No. 18-01 SEC RULES COMMITTEE No. 63-01 RE: ICI RESPONSE TO LETTER OPPOSING RULEMAKING PETITION CONCERNING PORTFOLIO INVESTMENT PROGRAMS As we previously informed you, in March 2001 the Institute...

[13761] July 24, 2001 TO: SEC RULES COMMITTEE No. 62-01 RE: DRAFT INSTITUTE LETTER ON REVIEW OF DIVISION OF INVESTMENT MANAGEMENT As we previously informed you,1 Paul Roye, Director of the Securities and Exchange Commission’s Division of Investment Management, announced during his...