SEC Rules Content

[12391] July 26, 2000 TO: INVESTMENT ADVISERS COMMITTEE No. 20-00 SEC RULES COMMITTEE No. 99-00 RE: SEC PUBLISHES FOR COMMENT PROPOSED REVISIONS TO THE NASDR RULE GOVERNING PERFORMANCE FEE ARRANGEMENTS The Securities and Exchange Commission has published for comment revisions proposed...

[12395] July 26, 2000 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 41-00 SEC RULES COMMITTEE No. 100-00 RE: SEC ESTABLISHES ADVISORY COMMITTEE ON MARKET INFORMATION The Securities and Exchange Commission announced (press release attached) that it is establishing a federal advisory...

[12304] July 20, 2000 TO: BOARD OF GOVERNORS No. 44-00 INVESTMENT COMPANY DIRECTORS No. 11-00 PRIMARY CONTACTS - MEMBER COMPLEX No. 50-00 SEC RULES COMMITTEE No. 98-00 RE: 2000 INVESTMENT COMPANY DIRECTORS CONFERENCE - PRELIMINARY PROGRAM The Investment Company Institute is holding...

[12257] July 14, 2000 TO: ACCOUNTING/TREASURERS COMMITTEE No. 27-00 SEC RULES COMMITTEE No. 96-00 RE: SEC ISSUES AUDITOR INDEPENDENCE RULE PROPOSALS The Securities and Exchange Commission has proposed substantive rule amendments intended to modernize and strengthen auditor...

[12219] July 17, 2000 TO: BOARD OF GOVERNORS No. 42-00 PRIMARY CONTACTS - MEMBER COMPLEX No. 48-00 PUBLIC INFORMATION COMMITTEE No. 29-00 SEC RULES COMMITTEE No. 97-00 RE: INSTITUTE RESPONSE TO EDITORIAL ON FREQUENCY OF DISCLOSING PORTFOLIO HOLDINGS The Institute recently was asked by...

[12173] July 5, 2000 TO: BOARD OF GOVERNORS No. 39-00 ACCOUNTING/TREASURERS COMMITTEE No. 26-00 SEC RULES COMMITTEE No. 95-00 TAX COMMITTEE No. 28-00 RE: INSTITUTE COMMENT LETTER ON SEC AFTER-TAX RETURNS PROPOSAL The Institute has filed a comment letter on the SEC’s proposal to...

[12168] July 5, 2000 TO: BOARD OF GOVERNORS No. 38-00 PRIMARY CONTACTS - MEMBER COMPLEX No. 45-00 PUBLIC INFORMATION COMMITTEE No. 26-00 SEC RULES COMMITTEE No. 94-00 RE: GENERAL ACOUNTING OFFICE REPORT ON MUTUAL FUND FEES The U.S. General Accounting Office has completed a report on...

[12160] July 5, 2000 TO: INVESTMENT ADVISERS COMMITTEE No. 18-00 SEC RULES COMMITTEE No. 93-00 RE: CFTC PROPOSED CLARIFICATION OF SWAPS EXEMPTION The Commodity Futures Trading Commission has proposed amendments to Part 35 of its rules under the Commodity Exchange Act (CEA) to expand...

[12107] June 26, 2000 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 21-00 SEC RULES COMMITTEE No. 92-00 SMALL FUNDS COMMITTEE No. 3-00 RE: INSTITUTE COMMENT LETTER ON PROPOSED CHANGES TO MUTUAL FUND QUOTATION SERVICE The Institute has filed with the Securities and Exchange...

[12035] June 20, 2000 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 21-00 SEC RULES COMMITTEE No. 91-00 RE: ICI COMMENT LETTER ON SEC ELECTRONIC MEDIA RELEASE The Institute recently filed the attached comment letter on the Securities and Exchange Commission’s interpretive release...