Closed-End Investment Company Content

[28121] May 15, 2014 TO: SEC RULES COMMITTEE No. 19-14 EQUITY MARKETS ADVISORY COMMITTEE No. 7-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 8-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-14 INTERNATIONAL COMMITTEE No. 15-14 ICI GLOBAL STEERING COMMITTEE No. 8-14 ICI GLOBAL...

[28118] May 13, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 33-14 SEC RULES COMMITTEE No. 18-14 RE: MEMBER CALL TO DISCUSS SEC'S PROPOSED REPORTING REQUIREMENTS FOR SECURITY-BASED SWAP DEALERS, MAJOR SECURITY-BASED SWAP...

[28115] May 12, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 10-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-14 SEC RULES COMMITTEE No. 17-14 SMALL FUNDS COMMITTEE No. 8-14 RE: ICI'S DRAFT COMMENT LETTER ON FINRA'S RETROSPECTIVE REVIEW OF COMMUNICATIONS WITH THE PUBLIC...

[28079] May 1, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 17-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 30-14 SEC RULES COMMITTEE No. 16-14 RE: DRAFT ICI COMMENT LETTER ON PROTECTION OF COLLATERAL FOR CLEARED SECURITY-BASED SWAPS UNDER SEC’S PROPOSED STANDARDS FOR...

[28056] April 22, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 16-14 RE: CLOSED-END INVESTMENT COMPANY COMMITTEE MEETING, TUESDAY, MAY 6, 2014 - FINRA GUEST SPEAKERS   A meeting of the Closed-End Investment Company Committee has been scheduled for Tuesday, May 6, 2014 at the...

[28031] April 14, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-14 RE: CLOSED-END INVESTMENT COMPANY COMMITTEE MEETING, TUESDAY, MAY 6, 2014 - FINRA GUEST SPEAKERS   A meeting of the Closed-End Investment Company Committee has been scheduled for Tuesday, May 6, 2014 at the...

[28034] April 14, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 7-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-14 RE: ICI DRAFT COMMENT LETTER ON FINRA RULE 2210 (COMMUNICATIONS WITH THE PUBLIC); COMMENTS REQUESTED BY APRIL 16   As previously reported, [1] on March 10...

[28027] April 10, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-14 SEC RULES COMMITTEE No. 14-14 SMALL FUNDS COMMITTEE No. 6-14 RE: FINRA ANNOUNCES RETROSPECTIVE REVIEW OF RULES RELATED TO COMMUNICATIONS WITH THE PUBLIC  ...

[28010] April 2, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 25-14 SEC RULES COMMITTEE No. 12-14 RE: MEMBER CALL TO DISCUSS POTENTIAL COMMENTS ON SEC’S PROPOSED STANDARDS FOR “COVERED CLEARING AGENCIES” ON THURSDAY, APRIL 10 AT...

[27988] March 27, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 3-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-14 RE: FINRA PROPOSES AMENDMENTS TO RULE 2210 (COMMUNICATIONS WITH THE PUBLIC)   On March 10, 2014, FINRA filed with the SEC proposed amendments to FINRA Rule...