Closed-End Investment Company Content

[25430] August 22, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 41-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 33-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 39-11 ETF ADVISORY COMMITTEE No. 60-11 EQUITY MARKETS ADVISORY COMMITTEE No. 56-11 SEC RULES COMMITTEE No. 72-11 RE...

  URGENT/ACTION REQUESTED [25394] August 9, 2011 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 8-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 39-11 SEC RULES COMMITTEE No. 68-11 RE: DRAFT INSTITUTE COMMENT LETTER ON FINRA'S PROPOSED AMENDMENTS TO ADVERTISING RULES; YOUR COMMENTS...

[25397] August 9, 2011 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 51-11 INTERNATIONAL COMMITTEE No. 20-11 INTERNATIONAL INVESTING SUBCOMMITTEE No. 12-11 SEC RULES COMMITTEE No. 69-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 35-11 ETF ADVISORY COMMITTEE No. 56-11 CLOSED-END INVESTMENT...

[25373] August 2, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 38-11 RE: SURVEY OF SHAREHOLDER PROXY CONTESTS; YOUR RESPONSE REQUESTED BY AUGUST 30TH   In discussions with various committee members, questions have been raised about the possibility of the Institute gathering...

  URGENT/ACTION REQUESTED [25348] July 22, 2011 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 5-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 37-11 SEC RULES COMMITTEE No. 65-11 RE: FINRA FILES WITH SEC PROPOSED AMENDMENTS TO ADVERTISING RULES; JULY 27TH CONFERENCE CALL   The...

  [25342] July 20, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-11 RE: NOTICE OF CLOSED-END INVESTMENT COMPANY COMMITTEE MEETING - WEDNESDAY, NOVEMBER 16TH, 2011 IN NEW YORK CITY   A meeting of the Closed-End Investment Company Committee has been scheduled for Wednesday...

[25340] July 18, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 27-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 30-11 ETF ADVISORY COMMITTEE No. 47-11 EQUITY MARKETS ADVISORY COMMITTEE No. 44-11 FIXED-INCOME ADVISORY COMMITTEE No...

[25332] July 14, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-11 FIXED-INCOME ADVISORY COMMITTEE No. 53-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 43-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 36-11 RE: REVISED DRAFT ICI COMMENT LETTER ON ABS RISK RETENTION - PLEASE...

[25289] June 20, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 22-11 ETF ADVISORY COMMITTEE No. 40-11 EQUITY MARKETS ADVISORY COMMITTEE No. 36-11 SEC RULES COMMITTEE No. 62-11 RE: DRAFT ICI LETTER ON “LIMIT UP-LIMIT DOWN” PROPOSAL...

[25290] June 20, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 23-11 ETF ADVISORY COMMITTEE No. 41-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 22-11 EQUITY MARKETS ADVISORY COMMITTEE No. 37-11 SEC RULES COMMITTEE No. 63-11 RE...