Closed-End Investment Company Content

[27978] March 25, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-14 RE: NOTICE OF CLOSED-END INVESTMENT COMPANY COMMITTEE MEETING - TUESDAY, MAY 6, 2014   A meeting of the Closed-End Investment Company Committee has been scheduled for Tuesday, May 6, 2014 at the offices of...

[27965] March 20, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 7-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 16-14 RE: ICI DRAFT LETTER ON NFA CAPITAL AND CUSTOMER PROTECTION PROPOSAL; MEMBER COMMENTS REQUESTED BY MARCH 27   On...

March 12, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 15-14 FIXED-INCOME ADVISORY COMMITTEE No. 3-14 SEC RULES COMMITTEE No. 9-14 SECURITIES OPERATIONS ADVISORY GROUP RE: DRAFT ICI COMMENT LETTER ON FINRA’S PROPOSED MARGIN...

[27946] March 11, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 6-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 14-14 OPERATIONS COMMITTEE No. 10-14 SECURITIES OPERATIONS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 13-14 RE: ICI...

[27918] February 26, 2014 TO: SEC RULES COMMITTEE No. 7-14 EQUITY MARKETS ADVISORY COMMITTEE No. 4-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 4-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-14 INTERNATIONAL COMMITTEE No. 4-14 ICI GLOBAL STEERING COMMITTEE No. 3-14 ICI GLOBAL...

[27916] February 26, 2014 TO: FIXED-INCOME ADVISORY COMMITTEE No. 2-14 SEC RULES COMMITTEE No. 6-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 4-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 4-14 RE: SEC RE-OPENS COMMENT PERIOD FOR...

[27897] February 18, 2014 TO: SEC RULES COMMITTEE No. 5-14 EQUITY MARKETS ADVISORY COMMITTEE No. 2-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 3-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-14 INTERNATIONAL COMMITTEE No. 3-14 RE: DRAFT COMMENT LETTER ON FCA DEALING COMMISSION...

[27883] February 11, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 4-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 10-14 OPERATIONS COMMITTEE No. 6-14 SECURITIES OPERATIONS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 7-14 RE...

[27861] January 24, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 5-14 OPERATIONS COMMITTEE No. 3-14 SECURITIES OPERATIONS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 6-14 RE: NFA...

[27817] January 2, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 1-14 SEC RULES COMMITTEE No. 1-14 RE: DRAFT ICI COMMENT LETTER ON CFTC’S AGGREGATION PROPOSAL; MEMBER COMMENTS REQUESTED BY WEDNESDAY, JANUARY 8   Recently, the...