Closed-End Investment Company Content

URGENT/ACTION REQUESTED [25791] January 11, 2012 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 3-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-12 RE: ICI DRAFT LETTER ON PROPOSED AMENDMENTS TO FINRA ADVERTISING RULES; COMMENTS DUE TO ICI BY JANUARY 17TH   As we previously...

  [25783] January 10, 2012 TO: SEC RULES COMMITTEE No. 2-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 1-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-12 RE: ICI DRAFT LETTER ON CFTC PROPOSAL FOR MAKING A SWAP "AVAILABLE TO TRADE" - COMMENTS REQUESTED BY JANUARY 24   The Commodity...

URGENT/ACTION REQUESTED [25769] January 5, 2012 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 2-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-12 RE: SEC PUBLISHES ADDITIONAL PROPOSED AMENDMENTS TO FINRA ADVERTISING RULES; COMMENTS DUE TO ICI BY JANUARY 10TH   The Securities and...

  [25772] January 5, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-12 RE: NOTICE OF CLOSED-END INVESTMENT COMPANY COMMITTEE MEETING - THURSDAY, MAY 3RD IN WASHINGTON, DC   A meeting of the Closed-End Investment Company Committee has been scheduled for Thursday, May 3rd at the...

[25755] December 28, 2011 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 83-11 BROKER/DEALER ADVISORY COMMITTEE No. 87-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 57-11 COMPLIANCE MEMBERS No. 47-11 FIXED-INCOME ADVISORY COMMITTEE No. 82-11 INVESTMENT ADVISER MEMBERS No. 20...

[25749] December 27, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 56-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 52-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 51-11 ETF ADVISORY COMMITTEE No. 71-11 EQUITY MARKETS ADVISORY COMMITTEE No. 68-11 FIXED-INCOME ADVISORY COMMITTEE...

URGENT/ACTION REQUESTED [25741] December 23, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 55-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 51-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 50-11 ETF ADVISORY COMMITTEE No. 70-11 EQUITY MARKETS ADVISORY COMMITTEE No. 67-11 FIXED...

[25722] December 16, 2011 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 49-11 SEC RULES COMMITTEE No. 106-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 54-11 RE: CFTC PROPOSES PROCESS FOR MAKING A SWAP “AVAILABLE TO TRADE;” CALL SCHEDULED FOR JANUARY 4   The Commodity Futures...

[25704] December 9, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 53-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 65-11 SEC RULES COMMITTEE No. 105-11 RE: DRAFT LETTER ON FSOC PROPOSAL REGARDING "SIFI" DESIGNATIONS; COMMENTS DUE TO ICI BY DECEMBER 15   As we previously informed...

[25687] December 2, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 52-11 FIXED-INCOME ADVISORY COMMITTEE No. 79-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 57-11 SEC RULES COMMITTEE No. 104-11 RE: DRAFT LETTER ON PROPOSAL PROHIBITING ABS CONFLICTS OF INTEREST; COMMENTS...