Closed-End Investment Company Content

[25248] June 3, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 31-11 FIXED-INCOME ADVISORY COMMITTEE No. 43-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 36-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 29-11 RE: DRAFT ICI COMMENT LETTER ON ABS RISK RETENTION - PLEASE COMMENT BY...

[25225] May 25, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-11 SEC RULES COMMITTEE No. 55-11 SMALL FUNDS COMMITTEE No. 21-11 RE: DRAFT ICI COMMENT LETTER ON PROPOSED AMENDMENTS TO FINRA’S CASH COMPENSATION AND REVENUE SHARING DISCLOSURE RULES   As you know, FINRA has...

  [25200] May 19, 2011 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 24-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 15-11 ETF ADVISORY COMMITTEE No. 34-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 29-11 SEC RULES COMMITTEE No. 51-11 DERIVATIVES MARKETS ADVISORY COMMITTEE RE: SEC SHORT...

[25199] May 18, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-11 RISK MANAGEMENT COMMITTEE No. 5-11 SEC RULES COMMITTEE No. 50-11 RE: DRAFT LETTER ON PROPOSED RULES ON INCENTIVE-BASED COMPENSATION ARRANGEMENTS; COMMENTS REQUESTED...

[25191] May 17, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 26-11 BROKER/DEALER ADVISORY COMMITTEE No. 25-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-11 ETF ADVISORY COMMITTEE No. 33-11 EQUITY MARKETS ADVISORY COMMITTEE No. 23-11 FIXED-INCOME ADVISORY COMMITTEE...

  [25186] May 13, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 26-11 FIXED-INCOME ADVISORY COMMITTEE No. 38-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 31-11 SEC RULES COMMITTEE No. 47-11 RE: DRAFT COMMENT LETTER ON FDIC PROPOSAL REGARDING ORDERLY LIQUIDATION AUTHORITY...

  [25184] May 12, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 25-11 SEC RULES COMMITTEE No. 46-11 SMALL FUNDS COMMITTEE No. 18-11 RE: FINRA SEEKS TO ADOPT AMENDMENTS TO CASH COMPENSATION AND REVENUE SHARING DISCLOSURE RULES...

[25177] May 9, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-11 DERIVATIVES MARKETS ADVISORY COMMITTEE ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 13-11 ETF ADVISORY COMMITTEE No. 30-11 EQUITY MARKETS ADVISORY COMMITTEE No. 22-11 FIXED-INCOME ADVISORY COMMITTEE No. 37-11 SEC...

[25164] May 4, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-11 DERIVATIVES MARKETS ADVISORY COMMITTEE ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 11-11 ETF ADVISORY COMMITTEE No. 28-11 EQUITY MARKETS ADVISORY COMMITTEE No. 20-11 FIXED-INCOME ADVISORY COMMITTEE No. 34-11 SEC...

[25109] April 15, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 22-11 ETF ADVISORY COMMITTEE No. 25-11 SEC RULES COMMITTEE No. 34-11 RE: ICI DRAFT LETTER ON SEC PROPOSAL REGARDING LISTING STANDARDS FOR COMPENSATION COMMITTEES; YOUR COMMENTS REQUESTED BY APRIL 26TH   As we...