Small Funds Content

[16904] December 19, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 67-03 COMPLIANCE ADVISORY COMMITTEE No. 112-03 SEC RULES COMMITTEE No. 105-03 SMALL FUNDS COMMITTEE No. 35-03 UNIT INVESTMENT TRUST COMMITTEE No. 25-03 RE: SEC ADOPTS FUND AND ADVISER COMPLIANCE RULES AND SEEKS...

[16879] December 15, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 110-03 SEC RULES COMMITTEE No. 103-03 SMALL FUNDS COMMITTEE No. 34-03 RE: SEC PROPOSES DISCLOSURE REQUIREMENTS RELATING TO MARKET TIMING, FAIR VALUE PRICING, AND SELECTIVE DISCLOSURE OF PORTFOLIO HOLDINGS The Securities...

[16873] December 12, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 38-03 COMPLIANCE ADVISORY COMMITTEE No. 107-03 OPERATIONS COMMITTEE No. 26-03 PENSION COMMITTEE No. 46-03 SEC RULES COMMITTEE No. 102-03 SMALL FUNDS COMMITTEE No. 33-03 TRANSFER AGENT ADVISORY COMMITTEE No. 112-03 RE...

[16861] December 9, 2003 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 14-03 SEC RULES COMMITTEE No. 100-03 SMALL FUNDS COMMITTEE No. 32-03 UNIT INVESTMENT TRUST COMMITTEE No. 23-03 RE: NASD PROPOSAL TO REQUIRE EXPENSE RATIOS IN INVESTMENT COMPANY PERFORMANCE ADVERTISING; DEC...

[16832] December 1, 2003 TO: OPERATIONS COMMITTEE No. 25-03 TRANSFER AGENT ADVISORY COMMITTEE No. 106-03 BANK AND TRUST ADVISORY COMMITTEE No. 15-03 BROKER/DEALER ADVISORY COMMITTEE No. 35-03 SMALL FUNDS COMMITTEE No. 31-03 RE: STAMP/SEMP/STA AND NYSE RECOMMEND REJECTION OF OLD...

[16797] November 20, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 101-03 BOARD OF GOVERNORS No. 64-03 SEC RULES MEMBERS No. 160-03 SMALL FUNDS COMMITTEE No. 30-03 RE: SEC AND NASD SETTLE PROCEEDINGS AGAINST A BROKER-DEALER RELATING TO PREFERENTIAL TREATMENT OF FUNDS AND SALES OF CLASS B...

[16761] November 11, 2003 TO: SMALL FUNDS COMMITTEE No. 29-03 RE: SEC INFORMATION REQUEST LETTERS At the meeting of the Small Funds Committee last week, the Committee discussed several issues related to recent allegations of late trading and market timing abuses involving mutual funds...

[16729] November 4, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 31-03 BANK AND TRUST ADVISORY COMMITTEE No. 13-03 TRANSFER AGENT ADVISORY COMMITTEE No. 99-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 46-03 SMALL FUNDS COMMITTEE No. 28-03 RE: INSTITUTE RECOMMENDATIONS REGARDING...

[16667] October 14, 2003 TO: OPERATIONS COMMITTEE No. 22-03 SEC RULES COMMITTEE No. 82-03 SMALL FUNDS COMMITTEE No. 27-03 RE: INSTITUTE DRAFT COMMENT LETTER ON REVISED NASD BUSINESS CONTINUITY PLAN RULE PROPOSAL The Investment Company Institute has prepared a draft comment letter...

[16623] October 7, 2003 TO: OPERATIONS COMMITTEE No. 21-03 SEC RULES COMMITTEE No. 80-03 SMALL FUNDS COMMITTEE No. 26-03 UNIT INVESTMENT TRUST MEMBERS No. 33-03 RE: SEC REQUEST FOR COMMENTS ON REVISED NASD BUSINESS CONTINUITY PLAN RULE PROPOSAL The Securities and Exchange Commission...