Closed-End Investment Company Content

[29207] July 30, 2015 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-15 RE: REGISTRATION FOR NOVEMBER 3rd CLOSED-END INVESTMENT COMPANY COMMITTEE MEETING AND DINNER   The next meeting of the Closed-End Investment Company Committee will take place on Tuesday, November 3rd. This in...

[29188] July 21, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 21-15 CHIEF RISK OFFICER COMMITTEE No. 19-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 17-15 COMPLIANCE ADVISORY COMMITTEE No. 7-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 55-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No...

[29181] July 16, 2015 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 16-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 17-15 ETF ADVISORY COMMITTEE No. 17-15 SEC RULES COMMITTEE No. 23-15 SMALL FUNDS COMMITTEE No. 21-15 UNIT INVESTMENT TRUST COMMITTEE No. 6-15 RE: SEC PROPOSES CLAWBACK...

[29158] July 9, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-15 RE: SEC CONCEPT RELEASE SEEKS COMMENT ON EXPANDED AUDIT COMMITTEE DISCLOSURES The SEC recently issued a concept release seeking public comment on whether there would be...

[29110] June 19, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 4-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-15 INTERNAL SALES MANAGERS ROUNDTABLE No. 5-15 SALES AND MARKETING COMMITTEE No. 4-15 SEC RULES COMMITTEE No. 19-15...

[29068] June 5, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 12-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-15 CHIEF RISK OFFICER COMMITTEE No. 17-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-15 COMPLIANCE ADVISORY COMMITTEE No. 5-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 41...

[29057] June 4, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 11-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-15 CHIEF RISK OFFICER COMMITTEE No. 16-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-15 COMPLIANCE ADVISORY COMMITTEE No. 4-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 39...

[29045] June 2, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 10-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-15 CHIEF RISK OFFICER COMMITTEE No. 14-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-15 COMPLIANCE ADVISORY COMMITTEE No. 3-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 38...

[29024] May 27, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 3-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-15 SEC RULES COMMITTEE No. 12-15 SMALL FUNDS COMMITTEE No. 7-15 RE: FINRA PROPOSES AMENDMENTS TO COMMUNICATIONS WITH...

[28961] May 7, 2015 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 30-15 ICI GLOBAL MEMBERS No. 17-15 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 20-15 INVESTMENT ADVISER MEMBERS No. 12-15 SEC RULES MEMBERS No. 30-15 RE: SEC PROPOSES...