Closed-End Investment Company Content

[30089] July 28, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 16-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-16 CHIEF RISK OFFICER COMMITTEE No. 20-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-16 COMPLIANCE ADVISORY COMMITTEE No. 8-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No...

[30053] July 19, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 19-16 CHIEF RISK OFFICER COMMITTEE No. 18-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-16 COMPLIANCE MEMBERS No. 22-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 15-16 ETF ADVISORY COMMITTEE No. 15-16 INVESTMENT COMPANY...

[30035] July 13, 2016 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-16 CHIEF RISK OFFICER COMMITTEE No. 17-16 CLOSED-END INVESTMENT COMPANY MEMBERS No. 11-16 COMPLIANCE ADVISORY COMMITTEE No. 7-16 INVESTMENT ADVISERS COMMITTEE No. 12-16 RISK ADVISORY COMMITTEE No. 3-16 SEC RULES...

[30028] July 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-16 CHIEF RISK OFFICER COMMITTEE No. 16-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-16 COMPLIANCE ADVISORY COMMITTEE No. 6-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 33...

[30004] June 24, 2016 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-16 RE: NOTICE OF CLOSED-END INVESTMENT COMPANY COMMITTEE CALL ON SEC NO-ACTION LETTER RELATED TO AUDITOR INDEPENDENCE - JUNE 30   The Closed-End Investment Company Committee will hold a conference call on...

[29995] June 23, 2016 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 7-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-16 INTERNAL SALES MANAGERS ROUNDTABLE No. 3-16 SALES AND MARKETING COMMITTEE No. 6-16 SEC RULES COMMITTEE No. 27-16...

[29994] June 22, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 14-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-16 COMPLIANCE MEMBERS No. 18-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 12-16 ETF ADVISORY COMMITTEE No. 12-16 INTERNAL AUDIT...

[29983] June 16, 2016 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-16 INTERNAL SALES MANAGERS ROUNDTABLE No. 2-16 SALES AND MARKETING COMMITTEE No. 4-16 SEC RULES COMMITTEE No. 26-16...

[29850] April 22, 2016 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-16 CHIEF RISK OFFICER COMMITTEE No. 10-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-16 COMPLIANCE ADVISORY COMMITTEE No. 3-16 INVESTMENT ADVISERS COMMITTEE No. 7-16 RISK ADVISORY COMMITTEE No. 1-16 SEC RULES...

[29847] April 21, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 7-16 CHIEF RISK OFFICER COMMITTEE No. 9-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-16 COMPLIANCE MEMBERS No. 9-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 9-16 ETF ADVISORY COMMITTEE No. 9-16 INVESTMENT COMPANY...