Closed-End Investment Company Content

[26585] October 15, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-12 ETF ADVISORY COMMITTEE No. 36-12 SEC RULES COMMITTEE No. 61-12 RE: NYSE AND NASDAQ FILE PROPOSED RULE CHANGE TO MODIFY LISTING RULES FOR COMPENSATION COMMITTEES   The Securities and Exchange Commission (...

[26580] October 11, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-12 RE: NOTICE OF CLOSED-END INVESTMENT COMPANY COMMITTEE MEETING - MONDAY, NOVEMBER 26, 2012; CLOSED-END FUND CONFERENCE - TUESDAY, NOVEMBER 27, 2012   Committee Meeting A meeting of the Closed-End Investment...

[26517] September 24, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 42-12 BROKER/DEALER ADVISORY COMMITTEE No. 47-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-12 COMPLIANCE ADVISORY COMMITTEE No. 3-12 FIXED-INCOME ADVISORY COMMITTEE No. 21-12 INVESTMENT ADVISERS...

[26515] September 24, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-12 END OF DAY PRICING FORUM No. 8-12 EQUITY MARKETS ADVISORY COMMITTEE No. 22-12 FIXED-INCOME ADVISORY COMMITTEE No. 20-12 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 40-12 RE: FINRA NOTICE ON TRACE...

[26509] September 18, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 31-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 50-12 ICI GLOBAL MEMBERS INTERNATIONAL COMMITTEE No. 37-12 SEC RULES COMMITTEE No. 55-12 RE: DRAFT ICI AND ICI GLOBAL COMMENT LETTER IN RESPONSE TO PROPOSED...

[26500] September 13, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 49-12 INTERNATIONAL COMMITTEE No. 34-12 INVESTMENT ADVISER MEMBERS No. 29-12 SEC RULES COMMITTEE No. 54-12 RE: ICI COMMENT LETTER IN RESPONSE TO CFTC’S REOPENING...

[26424] September 4, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 29-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 46-12 INTERNATIONAL COMMITTEE No. 33-12 SEC RULES COMMITTEE No. 53-12 RE: DRAFT ICI COMMENT LETTER IN RESPONSE TO CFTC’S REOPENING OF COMMENT PERIOD ON PROPOSED...

[26418] August 29, 2012 TO: TAX COMMITTEE No. 41-12 TRANSFER AGENT ADVISORY COMMITTEE No. 53-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 39-12 BROKER/DEALER ADVISORY COMMITTEE No. 43-12 OPERATIONS COMMITTEE No. 31-12 ACCOUNTING/TREASURERS COMMITTEE No. 11-12 CLOSED-END...

[26398] August 14, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 44-12 ICI GLOBAL MEMBERS INTERNATIONAL COMMITTEE No. 30-12 SEC RULES COMMITTEE No. 51-12 RE: DRAFT ICI AND ICI GLOBAL COMMENT LETTER ON CFTC’S PROPOSED INTERPRETIVE...

[26388] August 9, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 26-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 28-12 ETF ADVISORY COMMITTEE No. 29-12 EQUITY MARKETS ADVISORY COMMITTEE No. 17-12 SEC RULES COMMITTEE No. 49-12 RE: DRAFT ICI LETTER ON SEC ORDER RELATING TO...