SEC Rules Content

[13329] April 2, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 8-01 SEC RULES COMMITTEE No. 31-01 RE: ICI COMMENT LETTER ON SEC PROPOSAL TO REQUIRE DISCLOSURE OF EQUITY COMPENSATION PLANS IN PROXY STATEMENTS AND FORM 10-K REPORTS The Institute has filed a comment letter with the...

[13304] March 23, 2001 TO: SEC RULES COMMITTEE No. 30-01 RE: ICI DRAFT LETTER ON SEC PROPOSAL TO REQUIRE DISCLOSURE OF EQUITY COMPENSATION PLANS IN PROXY STATEMENTS AND FORM 10-K REPORTS As we previously informed you,1 the Securities and Exchange Commission has proposed amendments to...

[13277] March 20, 2001 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 10-01 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-01 FIXED-INCOME ADVISORY COMMITTEE No. 3-01 SEC RULES COMMITTEE No. 29-01 RE: DRAFT INSTITUTE COMMENT LETTER ON SEC PROPOSED RULE RELATING TO PROPOSED RULE CHANGES OF...

[13286] March 19, 2001 TO: ELECTRONIC COMMERCE ADVISORY COMMITTEE No. 6-01 PENSION COMMITTEE No. 16-01 PENSION OPERATIONS ADVISORY COMMITTEE No. 23-01 SEC RULES COMMITTEE No. 28-01 TAX COMMITTEE No. 12-01 TECHNOLOGY ADVISORY COMMITTEE No. 3-01 RE: ICI COMMENT LETTER TO FTC CONCERNING...

[13273] March 16, 2001 TO: ACCOUNTING/TREASURERS COMMITTEE No. 9-01 OPERATIONS COMMITTEE No. 11-01 SEC RULES COMMITTEE No. 27-01 T+1 ADVISORY COMMITTEE No. 3-01 RE: T+1 CONFERENCE - MAY 18, 2001 The Securities Industry Association is sponsoring a T+1 Conference at the New York...

[13269] March 15, 2001 TO: SEC RULES COMMITTEE No. 26-01 TAX COMMITTEE No. 11-01 RE: ESTABLISHMENT OF AFTER-TAX RETURN CALCULATOR WORKING GROUP; NOTICE OF MEETING At the February 28th SEC Rules Committee meeting, some members indicated that their firms were considering developing...

[13262] March 14, 2001 TO: ACCOUNTING/TREASURERS COMMITTEE No. 8-01 OPERATIONS COMMITTEE No. 9-01 SEC RULES COMMITTEE No. 24-01 SMALL FUNDS COMMITTEE No. 2-01 RE: FINANCIAL SERVICES INFORMATION SHARING AND ANALYSIS CENTER In 1997, the President’s Commission on Critical Infrastructure...

[13263] March 14, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 5-01 SEC RULES COMMITTEE No. 25-01 ELECTRONIC COMMERCE ADVISORY COMMITTEE No. 5-01 OPERATIONS COMMITTEE No. 10-01 TRANSFER AGENT ADVISORY COMMITTEE No. 22-01 RE: SEC PROPOSAL REGARDING ELECTRONIC RECORDKEEPING BY INVESTMENT...

[13244] March 12, 2001 TO: SEC RULES COMMITTEE No. 23-01 RE: POSSIBLE PRIORITIZATION OF ICI AFFILIATED TRANSACTION PROPOSALS In December 1998, the Institute submitted to the SEC staff a series of recommendations for new and amended rules concerning affiliated transactions.1 The...

[13214] March 12, 2001 TO: SEC RULES COMMITTEE No. 22-01 RULE 17g-1 TASK FORCE No. 1-01 RE: INSTITUTE PROPOSAL TO AMEND RULE 17g-1 At the February 28th SEC Rules Committee meeting, it was discussed and agreed that the Institute would urge the SEC’s Division of Investment Management to...