Closed-End Investment Company Content

[26686] November 14, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 45-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 64-12 SEC RULES COMMITTEE No. 71-12 RE: CONFERENCE CALL ON MONDAY, DECEMBER 10 TO DISCUSS CFTC'S PROPOSAL TO ENHANCE PROTECTIONS AFFORDED CUSTOMERS AND CUSTOMER...

[26679] November 12, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 44-12 EQUITY MARKETS ADVISORY COMMITTEE No. 34-12 FIXED-INCOME ADVISORY COMMITTEE No. 27-12 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 47-12 END OF DAY PRICING FORUM No. 10-12 RE: ICI COMMENT LETTER ON FINRA...

[26673] November 8, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 43-12 RE: AGENDA FOR CLOSED-END INVESTMENT COMPANY COMMITTEE MEETING - MONDAY, NOVEMBER 26, 2012   A meeting of the Closed-End Investment Company Committee has been scheduled for Monday, November 26 at the...

[26645] November 5, 2012 TO: SEC RULES COMMITTEE No. 70-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 42-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 63-12 ETF ADVISORY COMMITTEE No. 44-12 COMPLIANCE ADVISORY COMMITTEE No. 4-12 SMALL FUNDS COMMITTEE No. 26-12 VARIABLE INSURANCE...

  [26644] November 5, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 41-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 62-12 SEC RULES COMMITTEE No. 69-12 RE: DRAFT ICI COMMENT LETTER IN RESPONSE TO REOPENING OF COMMENT PERIOD BY BANKING REGULATORS ON PROPOSED MARGIN REQUIREMENTS...

  [26636]   November 1, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 40-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 61-12 SEC RULES COMMITTEE No. 68-12 RE: CFTC PROPOSES RULES TO ENHANCE PROTECTIONS AFFORDED CUSTOMERS AND CUSTOMER FUNDS HELD BY FUTURES COMMISSION MERCHANTS...

  [26616] October 25, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 39-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 58-12 SEC RULES COMMITTEE No. 67-12 RE: SEC PROPOSES CAPITAL, MARGIN, AND SEGREGATION REQUIREMENTS FOR SECURITY-BASED SWAP DEALERS AND MAJOR SECURITY-BASED SWAP...

[26601] October 23, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 37-12 ETF ADVISORY COMMITTEE No. 40-12 SEC RULES COMMITTEE No. 65-12 RE: DRAFT ICI COMMENT LETTERS IN RESPONSE TO PROPOSED RULE CHANGES BY THE NYSE AND NASDAQ TO MODIFY LISTING RULES FOR COMPENSATION COMMITTEES...

[26603] October 23, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 38-12 END OF DAY PRICING FORUM No. 9-12 EQUITY MARKETS ADVISORY COMMITTEE No. 31-12 FIXED-INCOME ADVISORY COMMITTEE No. 25-12 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 44-12 RE: ICI DRAFT COMMENT LETTER ON...

[26595] October 19, 2012 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 28-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 36-12 ETF ADVISORY COMMITTEE No. 38-12 SEC RULES COMMITTEE No. 63-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-12 RE: DRAFT ICI LETTER ON SEC TECHNOLOGY AND TRADING...