SEC Rules Content

[13760] July 24, 2001 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 26-01 SEC RULES COMMITTEE No. 61-01 RE: SEC ISSUES CONCEPT RELEASE ON EFFECTS OF DECIMAL TRADING IN SUBPENNIES The Securities and Exchange Commission has issued a concept release requesting comment on the impact of...

[13745] July 18, 2001 TO: SEC RULES COMMITTEE No. 60-01 RE: ESTABLISHMENT OF VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE As discussed at the last SEC Rules Committee meeting, the Institute is establishing a new advisory committee, the Variable Insurance Products Advisory Committee...

[13744] July 18, 2001 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 11-01 SEC RULES COMMITTEE No. 59-01 RE: INSTITUTE LETTER TO SEC RECOMMENDING AMENDMENTS TO RULE 482 As we have previously informed you, the Securities and Exchange Commission is considering amendments to Rule 482...

[13737] July 17, 2001 TO: BANK INVESTMENT MANAGEMENT MEMBERS No. 6-01 COMPLIANCE ADVISORY COMMITTEE No. 31-01 SEC RULES COMMITTEE No. 58-01 SMALL FUNDS COMMITTEE No. 10-01 RE: FINANCIAL INSTITUTION REGULATORS REJECT PROPOSAL RELATING TO THE DISCLOSURE OF CUSTOMER ACCOUNT NUMBERS TO...

[13726] July 16, 2001 TO: BOARD OF GOVERNORS No. 34-01 INVESTMENT COMPANY DIRECTORS No. 7-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 47-01 SEC RULES COMMITTEE No. 57-01 RE: 2001 INVESTMENT COMPANY DIRECTORS CONFERENCE - PRELIMINARY PROGRAM The Investment Company Institute is holding its...

[13724] July 12, 2001 TO: SEC RULES COMMITTEE No. 56-01 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 10-01 INVESTMENT ADVISERS COMMITTEE No. 17-01 RE: NASDR PROPOSAL ON REQUIRED DISCLOSURES FOR SECURITIES RECOMMENDATIONS NASD Regulation (“NASDR”) has issued a Notice to Members1...

[13715] July 11, 2001 TO: SEC RULES COMMITTEE No. 55-01 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 2-01 RE: SEC ADOPTS NEW RULE FOR REPURCHASE AGREEMENTS AND REFUNDED SECURITIES The SEC has issued a release adopting a new rule and related rule amendments under the Investment Company...

[13710] July 10, 2001 TO: ACCOUNTING/TREASURERS COMMITTEE No. 19-01 END OF DAY PRICING FORUM No. 5-01 EQUITY MARKETS ADVISORY COMMITTEE No. 23-01 SEC RULES COMMITTEE No. 54-01 RE: ICI LETTER TO NASDAQ REGARDING JUNE 29TH MARKET DISRUPTION; NASDAQ RESPONSE On June 29th, following a...

[13706] July 9, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 29-01 SEC RULES COMMITTEE No. 53-01 INVESTMENT IN BANK SECURITIES WORKING GROUP RE: INSTITUTE MEETING WITH FEDERAL RESERVE BOARD REGARDING FUNDS’ INVESTMENTS IN BANKING ORGANIZATIONS The Institute recently sent a letter to the...

[13700] July 5, 2001 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 9-01 EQUITY MARKETS ADVISORY COMMITTEE No. 22-01 SEC RULES COMMITTEE No. 52-01 RE: ICI COMMENT LETTER ON NASDR REQUEST FOR COMMENT ON MODERNIZING NASD RULES The Institute recently filed the attached comment letter...