SEC Rules Content

[12643] September 15, 2000 TO: ACCOUNTING/TREASURERS COMMITTEE No. 35-00 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-00 SEC RULES COMMITTEE No. 113-00 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC AUDITOR INDEPENDENCE RULE PROPOSALS As we previously informed you,1 the SEC has proposed...

[12564] September 5, 2000 TO: SEC RULES COMMITTEE No. 112-00 RE: NOTICE OF MEETING - OCTOBER 17, 2000 A meeting of the SEC Rules Committee has been scheduled for Tuesday, October 17, 2000 at the offices of the Investment Company Institute, 1401 H Street, NW, Washington, D.C. The...

[12547] August 30, 2000 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 48-00 SEC RULES COMMITTEE No. 110-00 RE: SEC EXTENDS COMMENT PERIOD FOR SUPERMONTAGE PROPOSAL As we previously informed you,1 the Securities and Exchange Commission has published for comment a proposed rule change filed...

[12520] August 23, 2000 TO: BOARD OF GOVERNORS No. 51-00 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-00 DIRECTOR SERVICES COMMITTEE No. 12-00 SEC RULES COMMITTEE No. 109-00 RE: ICI SUBMITS AMICUS BRIEF ON IMPLIED PRIVATE RIGHT OF ACTION UNDER SECTION 36(a) OF THE INVESTMENT COMPANY...

[12497] August 17, 2000 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 45-00 SEC RULES COMMITTEE No. 107-00 RE: NASD PROPOSED RULE CHANGE AMENDING SUPERMONTAGE PROPOSAL The Securities and Exchange Commission has published for comment a proposed rule change filed by the NASD1 (a copy of...

[12489] August 16, 2000 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 44-00 SEC RULES COMMITTEE No. 106-00 RE: DECIMALS IMPLEMENTATION PLAN FOR THE EQUITIES AND OPTIONS MARKETS As we previously informed you, in January the Securities and Exchange Commission ordered the various U.S. stock...

[12472] August 10, 2000 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 43-00 SEC RULES COMMITTEE No. 105-00 RE: SEC ISSUES PROPOSED RULES ON DISCLOSURE OF ORDER ROUTING AND EXECUTION PRACTICES The Securities and Exchange Commission has proposed two rules relating to the disclosure of order...

[12463] August 9, 2000 TO: SEC RULES COMMITTEE No. 104-00 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 3-00 RE: INSTITUTE COMMENT LETTER ON CFTC PROPOSAL TO PERMIT FCM’S AND CLEARING ORGANIZATIONS TO INVEST IN MONEY MARKET FUNDS The Institute has filed a comment letter with the Commodity...

[12424] August 1, 2000 TO: INVESTMENT COMPANY DIRECTORS No. 13-00 PRIMARY CONTACTS - MEMBER COMPLEX No. 52-00 SEC RULES COMMITTEE No. 103-00 RE: INSTITUTE OFFERS INVESTMENT COMPANY DIRECTOR'S GUIDE TO CODES OF ETHICS The Institute recently issued a new guide for investment company...

[12394] July 27, 2000 TO: SEC RULES COMMITTEE No. 101-00 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 2-00 RE: CFTC PROPOSES RULE AMENDMENTS TO PERMIT FUTURES COMMISSION MERCHANTS AND CLEARING ORGANIZATIONS TO INVEST IN MONEY MARKET FUNDS The Commodity Futures Trading Commission (...