Closed-End Investment Company Content

[27815] December 30, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 34-13 BOARD OF GOVERNORS No. 17-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 90-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 40-13 ETF ADVISORY COMMITTEE No. 39-13...

[27804] December 20, 2013 TO: ACCOUNTING/TREASURERS MEMBERS No. 31-13 BOARD OF GOVERNORS No. 16-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 88-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 39-13 ETF ADVISORY COMMITTEE No. 38-13 EQUITY...

[27775] December 16, 2013 TO: SEC RULES COMMITTEE No. 50-13 EQUITY MARKETS ADVISORY COMMITTEE No. 25-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 38-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-13 INTERNATIONAL COMMITTEE No. 30-13 RE: MEMBER CALL ON UK FCA CONSULTATION ON THE USE...

[27771] December 13, 2013 TO: SEC RULES COMMITTEE No. 48-13 SMALL FUNDS COMMITTEE No. 23-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-13 RE: DRAFT LETTER ON PROPOSED STANDARDS FOR ASSESSING FINANCIAL INSTITUTIONS’ POLICIES AND PRACTICES FOR DIVERSITY AND INCLUSION   As you know...

[27769] December 13, 2013 TO: BOARD OF GOVERNORS No. 15-13 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 87-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 37-13 ETF ADVISORY COMMITTEE No. 37-13...

[27719] November 25, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 31-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 83-13 SEC RULES COMMITTEE No. 46-13 RE: MEMBER CALL TO DISCUSS POTENTIAL COMMENTS ON CFTC’S RE-PROPOSED POSITION LIMITS AND AGGREGATION PROPOSAL ON TUESDAY...

[27711] November 21, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 82-13 SEC RULES COMMITTEE No. 44-13 RE: DRAFT ICI SUPPLEMENTAL COMMENT LETTER ON SEC’S PROPOSED RULES ON CAPITAL, MARGIN AND SEGREGATION; MEMBER COMMENTS...

[27705] November 19, 2013 TO: SEC RULES COMMITTEE No. 43-13 SMALL FUNDS COMMITTEE No. 20-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 29-13 RE: REGULATORS PROPOSE STANDARDS FOR ASSESSING FINANCIAL INSTITUTIONS’ POLICIES AND PRACTICES FOR DIVERSITY AND INCLUSION; ICI MEMBER CALL...

[27697] November 13, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-13 RE: SAVE THE DATE: CLOSED-END INVESTMENT 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 the...

[27682] November 6, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-13 ICI GLOBAL SECURITIES LENDING & REPO TASK FORCE No. 5-13 INTERNATIONAL COMMITTEE No. 27-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 32-13 SEC RULES COMMITTEE No. 42-13 RE: DRAFT ICI AND ICI GLOBAL LETTER...