Chief Risk Officers Content

    [24197]   March 26, 2010 TO: COMPLIANCE ADVISORY COMMITTEE No. 4-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 3-10 RISK MANAGEMENT ADVISORY COMMITTEE No. 4-10 RISK MANAGEMENT COMMITTEE No. 6-10 SEC RULES MEMBERS No. 25-10 SMALL FUNDS MEMBERS No. 19-10     RE: APRIL 20th  CONFERENCE...

    [24195]   March 25, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 9-10 SEC RULES COMMITTEE No. 13-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 5-10 ETF ADVISORY COMMITTEE No. 8-10 RISK MANAGEMENT COMMITTEE No. 5-10     RE: DRAFT...

    [24117]   February 3, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 4-10 SEC RULES MEMBERS No. 15-10 CLOSED-END INVESTMENT COMPANY MEMBERS No. 11-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 2-10 ETF ADVISORY COMMITTEE No. 4-10 RISK MANAGEMENT COMMITTEE No. 4-10     RE: SEC...

    [24121]   February 2, 2010 TO: RISK MANAGEMENT COMMITTEE No. 3-10     RE: QUARTERLY CONFERENCE CALLS OF THE RISK MANAGEMENT COMMITTEE SCHEDULED FOR APRIL 15, JULY 15, AND OCTOBER 21 FROM 2-3 P.M.   Consistent with the interest of the members of the Risk Management Committee, and...

    [24096]   January 25, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 1-10 SEC RULES MEMBERS No. 11-10 CLOSED-END INVESTMENT COMPANY MEMBERS No. 7-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 1-10 ETF ADVISORY COMMITTEE No. 3-10 SMALL FUNDS MEMBERS No. 7-10 RISK MANAGEMENT...

    [24056]   January 5, 2010 TO: SEC RULES MEMBERS No. 1-10 SMALL FUNDS MEMBERS No. 1-10 COMPLIANCE MEMBERS No. 1-10 RISK MANAGEMENT COMMITTEE No. 1-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 1-10     RE: PRICEWATERHOUSECOOPERS PARTNER NAMED AS NEW HEAD OF THE SEC'S OFFICE OF...

    [24036]   December 21, 2009 TO: BOARD OF GOVERNORS No. 9-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 65-09 COMPLIANCE MEMBERS No. 55-09 EQUITY MARKETS ADVISORY COMMITTEE No. 60-09 ETF ADVISORY COMMITTEE No. 43-09 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 13-09 FEDERAL LEGISLATION...

[23999]   December 7, 2009 TO: RISK MANAGEMENT COMMITTEE No. 14-09     RE: ICI RISK MANAGEMENT COMMITTEE TO HOLD IN-PERSON MEETING ON THURSDAY, JANUARY 21ST IN WASHINGTON, DC; REGISTER BY DECEMBER 31ST   An in-person meeting of the Institute’s Risk Management Committee has been...

    [23917]   October 30, 2009 TO: RISK MANAGEMENT ADVISORY COMMITTEE No. 1-09 RISK MANAGEMENT COMMITTEE No. 13-09 SEC RULES MEMBERS No. 117-09 SMALL FUNDS MEMBERS No. 62-09 FIXED-INCOME ADVISORY COMMITTEE No. 24-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 45-09 MUNICIPAL SECURITIES...

    [23862]   October 8, 2009 TO: RISK MANAGEMENT COMMITTEE No. 12-09     RE: THE COMMITTEE'S NEW STATUS AS A STANDING COMMITTEE OF THE ICI   As you may know, David Martin, the Chair of the ICI’s Risk Management Advisory Committee since its inception, has been working to have the...