SEC Rules Content

[12966] December 22, 2000 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 33-00 SEC RULES COMMITTEE No. 135-00 RE: REVISED DRAFT OF ICI COMMENT LETTER ON RELATED PERFORMANCE INFORMATION; COMMENT DEADLINE EXTENDED The Securities and Exchange Commission has extended the deadline for...

[12942] December 18, 2000 TO: SEC RULES COMMITTEE No. 133-00 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-00 EQUITY MARKETS ADVISORY COMMITTEE No. 63-00 UNIT INVESTMENT TRUST COMMITTEE No. 30-00 INVESTMENT ADVISERS COMMITTEE No. 25-00 RE: NASD AMENDS PROPOSED RULE CHANGE RELATING TO...

[12925] December 12, 2000 TO: SEC RULES COMMITTEE No. 132-00 RE: SEC PROPOSES AMENDMENTS TO RULE 10f-3 UNDER THE INVESTMENT COMPANY ACT The Securities and Exchange Commission has proposed amendments to Rule 10f-3 under the Investment Company Act of 1940, the rule that permits a...

[12928] December 11, 2000 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 32-00 SEC RULES COMMITTEE No. 131-00 RE: DRAFT ICI COMMENT LETTER ON NASDR’S PROPOSED RULE CHANGES CONCERNING RELATED PERFORMANCE INFORMATION Attached for your review is a draft of the Institute’s comment...

[12917] December 7, 2000 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 61-00 SEC RULES COMMITTEE No. 130-00 RE: INSTITUTE COMMENT LETTER ON AMENDMENT NO. 8 TO SUPERMONTAGE PROPOSAL The Institute has filed a comment letter (attached) with the Securities and Exchange Commission on Amendment...

[12881] December 1, 2000 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-00 COMPLIANCE ADVISORY COMMITTEE No. 39-00 SEC RULES COMMITTEE No. 129-00 TRANSFER AGENT ADVISORY COMMITTEE No. 63-00 RE: DRAFT PRIVACY COMPLIANCE PAPER As you may know, the Institute has been working with outside...

[12901] November 29, 2000 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 60-00 SEC RULES COMMITTEE No. 128-00 RE: NOTICE OF MEETING OF SEC ADVISORY COMMITTEE ON MARKET INFORMATION The Securities and Exchange Commission announced that the second meeting of the Advisory Committee on Market...

[12858] November 16, 2000 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 31-00 SEC RULES COMMITTEE No. 127-00 RE: SEC REQUESTS COMMENT ON NASDR’S PROPOSED RULE CHANGES CONCERNING RELATED PERFORMANCE INFORMATION The Securities and Exchange Commission has published for comment NASD...

[12806] October 30, 2000 TO: SEC RULES COMMITTEE No. 126-00 RE: SPECIAL MEETING TO BE HELD DURING THE 2000 SECURITIES LAW DEVELOPMENTS CONFERENCE As in the past, we have scheduled a meeting for members of the Institute’s SEC Rules Committee and several staff members from the SEC’s...

[12769] October 26, 2000 TO: SEC RULES COMMITTEE No. 125-00 RE: 2001 SEC RULES COMMITTEE MEETING DATES Set forth below are the proposed dates for the meetings of the SEC Rules Committee in 2001: 1. Wednesday, February 28th 2. Wednesday, June 27th 3. Tuesday, October 16th Please note...