Closed-End Investment Company Content

  [24976] February 18, 2011 TO: 529 PLAN ADVISORY COMMITTEE No. 2-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 13-11 BROKER/DEALER ADVISORY COMMITTEE No. 11-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-11 COMPLIANCE ADVISORY COMMITTEE No. 3-11 FIXED-INCOME ADVISORY...

[24970] February 17, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-11 DERIVATIVES MARKETS ADVISORY COMMITTEE ETF ADVISORY COMMITTEE No. 18-11 EQUITY MARKETS ADVISORY COMMITTEE No. 16-11 FIXED-INCOME ADVISORY COMMITTEE No. 22-11 SEC RULES COMMITTEE No. 16-11 SMALL FUNDS...

[24947] February 4, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-11 ETF ADVISORY COMMITTEE No. 14-11 SEC RULES COMMITTEE No. 14-11 SMALL FUNDS COMMITTEE No. 8-11 RE: CFTC PROPOSES TO NARROW RULE 4.5 EXCLUSION FOR REGISTERED INVESTMENT COMPANIES; CONFERENCE CALL ON FEBRUARY...

  [24939] February 3, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 9-11 BROKER/DEALER ADVISORY COMMITTEE No. 8-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-11 ETF ADVISORY COMMITTEE No. 12-11 EQUITY MARKETS ADVISORY COMMITTEE No. 11-11 FIXED-INCOME ADVISORY...

  [24936] February 2, 2011 TO: SEC RULES COMMITTEE No. 11-11 FIXED-INCOME ADVISORY COMMITTEE No. 16-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 9-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-11 RE: FDIC ADOPTS INTERIM FINAL RULE IMPLEMENTING CERTAIN ORDERLY LIQUIDATION AUTHORITY...

  [24901] January 21, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 4-11 SEC RULES COMMITTEE No. 8-11 RE: FSOC PROPOSAL REGARDING DESIGNATION OF NON-BANK FIRMS FOR HEIGHTENED SUPERVISION; CONFERENCE CALL ON JANUARY 27   On January...

  [24893] January 20, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 3-11 ETF ADVISORY COMMITTEE No. 7-11 EQUITY MARKETS ADVISORY COMMITTEE No. 7-11 FIXED-INCOME ADVISORY COMMITTEE No. 8-11 INTERNATIONAL COMMITTEE No. 3-11...

[24884] January 18, 2011 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 5-11 INTERNATIONAL COMMITTEE No. 2-11 INTERNATIONAL INVESTING SUBCOMMITTEE No. 2-11 SEC RULES COMMITTEE No. 6-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 2-11 ETF ADVISORY COMMITTEE No. 5-11 CLOSED-END INVESTMENT...

[24879] January 14, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-11 RE: SCHEDULE OF 2011 CALLS TO DISCUSS LEGAL ISSUES ARISING IN IMPLEMENTING THE SEC’S NEW PAY-TO-PLAY RULE FOR ADVISERS   As you may know, the Institute has been sponsoring conference calls of members to...

  [24875] January 13, 2011 TO: 529 PLAN MEMBERS No. 1-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 4-11 BROKER/DEALER ADVISORY COMMITTEE No. 4-11 COMPLIANCE MEMBERS No. 5-11 INVESTMENT ADVISER MEMBERS No. 2-11 PENSION MEMBERS No. 3-11 SEC RULES MEMBERS No. 6-11 SMALL FUNDS...