SEC Rules Content

[13548] May 29, 2001 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 5-01 EQUITY MARKETS ADVISORY COMMITTEE No. 16-01 SEC RULES COMMITTEE No. 41-01 RE: NASDR REQUEST FOR COMMENT ON MODERNIZING NASD RULES The NASD has issued a Special Notice to Members1 (a copy of which is attached)...

[13540] May 24, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-01 INVESTMENT ADVISERS COMMITTEE No. 14-01 SEC RULES COMMITTEE No. 40-01 UNIT INVESTMENT TRUST COMMITTEE No. 16-01 RE: SEC SEMI-ANNUAL REGULATORY AGENDA The Securities and Exchange Commission has published its semi...

[13529] May 21, 2001 TO: SEC RULES COMMITTEE No. 39-01 RE: FOREIGN SECURITIES VALUATION PAPER – MEETING ON JUNE 12TH As previously indicated, the staff of the SEC’s Division of Investment Management recently issued a letter to the Institute following up on its December 1999 letter...

[13516] May 17, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 13-01 SEC RULES COMMITTEE No. 38-01 RE: SEC AND CFTC PROPOSE RULES IMPLEMENTING COMMODITY FUTURES MODERNIZATION ACT OF 2000 The Securities and Exchange Commission and the Commodity Futures Trading Commission have proposed...

[13495] May 10, 2001 TO: SEC RULES COMMITTEE No. 37-01 RE: INSTITUTE COMMENT LETTER ON SEC ELECTRONIC RECORDKEEPING PROPOSAL FOR INVESTMENT COMPANIES AND INVESTMENT ADVISERS The Institute has prepared the attached comment letter on the SEC’s proposal to amend Rule 31a-2 under the...

[13494] May 9, 2001 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 13-01 SEC RULES COMMITTEE No. 36-01 RE: NYSE RESPONSE TO ICI LETTER RECOMMENDING CHANGES TO ADDRESS BUYSIDE DECIMALIZATION CONCERNS As we previously informed you,1 the Institute sent a letter to the New York Stock Exchange...

[13466] May 1, 2001 TO: SEC RULES COMMITTEE No. 35-01 RE: NOTICE OF MEETING - JUNE 27, 2001 A meeting of the SEC Rules Committee has been scheduled for Wednesday, June 27, 2001 at the offices of the Investment Company Institute, 1401 H Street, NW, Washington, D.C. The meeting will be...

[13402] April 10, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 11-01 SEC RULES COMMITTEE No. 34-01 ELECTRONIC COMMERCE ADVISORY COMMITTEE No. 8-01 OPERATIONS COMMITTEE No. 14-01 TRANSFER AGENT ADVISORY COMMITTEE No. 28-01 UNIT INVESTMENT TRUST COMMITTEE No. 13-01 RE: SEC PROPOSAL...

[13319] April 3, 2001 TO: BOARD OF GOVERNORS No. 16-01 INVESTMENT ADVISERS COMMITTEE No. 9-01 SEC RULES COMMITTEE No. 32-01 RE: INSTITUTE RULEMAKING PETITION CONCERNING PORTFOLIO INVESTMENT PROGRAMS The Institute has submitted to the Securities and Exchange Commission the attached...

[13337] April 3, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 10-01 SEC RULES COMMITTEE No. 33-01 SMALL FUNDS COMMITTEE No. 3-01 STATE SECURITIES MEMBERS No. 4-01 RE: NASAA PUBLISHES REVISED FORMS U-4 AND U-5 FOR COMMENT In anticipation of the rollout of the next phase of Investment...