Closed-End Investment Company Content

  URGENT/ACTION REQUESTED [25684] November 30, 2011 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 16-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 51-11 SEC RULES COMMITTEE No. 103-11 RE: INSTITUTE DRAFT COMMENT LETTER ON FINRA'S PROPOSED AMENDMENTS TO ADVERTISING RULES; YOUR...

  [25628] November 8, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 50-11 RE: DRAFT AGENDA FOR NOVEMBER 16TH CLOSED-END INVESTMENT COMPANY COMMITTEE MEETING   As previously announced, a meeting of the Closed-End Investment Company Committee has been scheduled for Wednesday...

URGENT/ACTION REQUESTED [25621] November 7, 2011 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 14-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 49-11 SEC RULES COMMITTEE No. 98-11 RE: SEC PUBLISHES ADDITIONAL PROPOSED AMENDMENTS TO FINRA ADVERTISING RULES; NOVEMBER 15TH...

[25577] October 24, 2011 TO: ACCOUNTING/TREASURERS COMMITTEE No. 16-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 48-11 CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-11 COMPLIANCE ADVISORY COMMITTEE No. 5-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 41-11 ETF (EXCHANGE-TRADED FUNDS)...

[25570] October 19, 2011 TO: FIXED-INCOME ADVISORY COMMITTEE No. 75-11 SEC RULES COMMITTEE No. 87-11 SMALL FUNDS COMMITTEE No. 41-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 47-11 RE: DRAFT COMMENT LETTER ON PROPOSED RULEMAKING ON TREATMENT OF ASSET-BACKED ISSUERS; COMMENTS...

[25548] October 10, 2011 TO: SEC RULES COMMITTEE No. 85-11 FIXED-INCOME ADVISORY COMMITTEE No. 73-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 46-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 51-11 RE: SEC PROPOSES RULE PROHIBITING ABS CONFLICTS OF INTEREST; CALL SCHEDULED FOR...

[25516] September 23, 2011 TO: TAX COMMITTEE No. 60-11 TRANSFER AGENT ADVISORY COMMITTEE No. 81-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 57-11 BROKER/DEALER ADVISORY COMMITTEE No. 61-11 OPERATIONS COMMITTEE No. 36-11 ACCOUNTING/TREASURERS COMMITTEE No. 14-11 CLOSED-END...

  [25509] September 21, 2011 TO: SEC RULES COMMITTEE No. 81-11 FIXED-INCOME ADVISORY COMMITTEE No. 70-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 44-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 48-11 RE: DRAFT LETTER ON ABS SHELF RE-PROPOSAL; COMMENTS REQUESTED BY TUESDAY...

  [25456] September 1, 2011 TO: ACCOUNTING/TREASURERS COMMITTEE No. 12-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 43-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 35-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 41-11 ETF ADVISORY COMMITTEE No. 62-11 SEC RULES COMMITTEE No. 75-11...

  [25434] August 25, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 42-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 34-11 PENSION COMMITTEE No. 26-11 PENSION OPERATIONS ADVISORY COMMITTEE No. 20-11 SEC RULES COMMITTEE No. 73-11 SMALL FUNDS COMMITTEE No. 33-11 RE: CFTC AND SEC...