SEC Rules Content

[13224] March 5, 2001 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 8-01 SEC RULES COMMITTEE No. 21-01 RE: INSTITUTE LETTER TO NYSE RECOMMENDING CHANGES TO ADDRESS BUYSIDE DECIMALIZATION CONCERNS The Institute recently sent a letter to the New York Stock Exchange addressing problems that...

[13196] February 23, 2001 TO: SEC RULES COMMITTEE No. 20-01 RE: INSTITUTE COMMENT LETTER ON SEC PROPOSAL TO AMEND RULE 10F-3 UNDER THE INVESTMENT COMPANY ACT The Institute has filed the attached comment letter with the Securities and Exchange Commission regarding its proposal to amend...

[13168] February 15, 2001 TO: SEC RULES COMMITTEE No. 18-01 RE: DRAFT AGENDA FOR FEBRUARY 28TH MEETING Attached is a draft agenda for the SEC Rules Committee meeting scheduled for Wednesday, February 28th at 10:00 a.m. in the David Silver Conference Room on the 12th Floor at the...

[13166] February 14, 2001 TO: SEC RULES COMMITTEE No. 17-01 RE: SEC PROPOSAL TO ENHANCE DISCLOSURE OF EQUITY COMPENSATION PLANS IN PROXY STATEMENTS AND FORM 10-K REPORTS The Securities and Exchange Commission has issued a release proposing amendments to the disclosure requirements for...

[13158] February 13, 2001 TO: SEC RULES COMMITTEE No. 15-01 RE: OCTOBER 2001 COMMITTEE MEETING DATE CHANGE Please be advised that we have changed the date of the October 2001 SEC Rules Committee meeting from October 16, 2001 to October 30, 2001. Michael J. Downer Chairperson

[13123] February 5, 2001 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 5-01 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-01 FIXED-INCOME ADVISORY COMMITTEE No. 1-01 SEC RULES COMMITTEE No. 13-01 RE: SEC PROPOSED RULE RELATING TO PROPOSED RULE CHANGES OF SELF- REGULATORY ORGANIZATIONS The...

[13121] February 5, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 2-01 SEC RULES COMMITTEE No. 14-01 RE: INSTITUTE COMMENT LETTER TO NASDAQ CONCERNING SHAREHOLDER APPROVAL REQUIREMENTS FOR STOCK OPTION PLANS The Institute recently filed with the Nasdaq Stock Market, Inc. the attached...

[13102] January 31, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-01 COMPLIANCE ADVISORY COMMITTEE No. 8-01 SEC RULES COMMITTEE No. 12-01 TRANSFER AGENT ADVISORY COMMITTEE No. 10-01 PRIVACY COMPLIANCE PAPER WORKING GROUP RE: PRIVACY COMPLIANCE PAPER Enclosed is the final version of...

[13098] January 26, 2001 TO: SEC RULES COMMITTEE No. 11-01 RE: INSTITUTE DRAFT LETTER ON SEC PROPOSED AMENDMENTS TO RULE 10F-3 UNDER THE INVESTMENT COMPANY ACT The Investment Company Institute has prepared the attached draft letter on the SEC’s proposed amendments to Rule 10f-3 under...

[13032] January 12, 2001 TO: BOARD OF GOVERNORS No. 5-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 6-01 SEC RULES COMMITTEE No. 3-01 RE: SEC STAFF REPORT ON MUTUAL FUND FEES AND EXPENSES The Securities and Exchange Commission yesterday issued the Division of Investment Management’s Report...