SEC Rules Content

[13693] July 2, 2001 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 7-01 SEC RULES COMMITTEE No. 51-01 RE: DRAFT LETTER TO SEC RECOMMENDING AMENDMENTS TO RULE 482 The Securities and Exchange Commission is considering amendments to Rule 482 to, among other things, address concerns...

[13434] June 29, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-01 COMPLIANCE ADVISORY COMMITTEE No. 28-01 INVESTMENT ADVISERS COMMITTEE No. 16-01 SEC RULES COMMITTEE No. 50-01 UNIT INVESTMENT TRUST COMMITTEE No. 18-01 RE: FTC AMENDS PREMERGER NOTIFICATION RULES - RELATED...

[13687] June 28, 2001 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 21-01 SEC RULES COMMITTEE No. 49-01 RE: INSTITUTE LETTER TO NYSE ON RECOMMENDED CHANGES TO INSTITUTIONAL XPRESS SYSTEM As we previously informed you,1 on May 7, the New York Stock Exchange sent a letter to the Institute...

[13659] June 21, 2001 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-01 EQUITY MARKETS ADVISORY COMMITTEE No. 20-01 SEC RULES COMMITTEE No. 48-01 RE: DRAFT INSTITUTE COMMENT LETTER ON NASDR REQUEST FOR COMMENT ON MODERNIZING NASD RULES As we previously informed you,1 NASD...

[13644] June 21, 2001 TO: BOARD OF GOVERNORS No. 31-01 INVESTMENT COMPANY DIRECTORS No. 6-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 44-01 SEC RULES COMMITTEE No. 47-01 RE: REVISED HOTEL RATES AND TRAVEL DISCOUNTS – 2001 DIRECTORS CONFERENCE REVISED HOTEL RATES On June 12, 2001, the...

[13600] June 12, 2001 TO: BOARD OF GOVERNORS No. 29-01 INVESTMENT COMPANY DIRECTORS No. 5-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 43-01 SEC RULES COMMITTEE No. 45-01 RE: MARK YOUR CALENDAR - 2001 INVESTMENT COMPANY DIRECTORS CONFERENCES The Investment Company Institute is holding its...

[13616] June 11, 2001 TO: SEC RULES COMMITTEE No. 44-01 RE: DRAFT AGENDA FOR JUNE 27TH MEETING Attached is the draft agenda for the SEC Rules Committee meeting scheduled for Wednesday, June 27th at 10:00 a.m. in the David Silver Conference Room at the Institute. If you are planning to...

[13604] June 7, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 24-01 INVESTMENT ADVISERS COMMITTEE No. 15-01 SEC RULES COMMITTEE No. 43-01 RE: REGULATION FD AND THE USE OF CONFIDENTIALITY AGREEMENTS Members have informed us that following the adoption of Regulation Fair Disclosure last...

[13577] June 4, 2001 TO: BOARD OF GOVERNORS No. 26-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 38-01 PUBLIC INFORMATION COMMITTEE No. 16-01 SEC RULES COMMITTEE No. 42-01 RE: GAO REVIEW OF THE SEC FEE STUDY As we previously reported, in June 2000, the General Accounting Office issued a...