Closed-End Investment Company Content

    [24444]   July 27, 2010 TO: SEC RULES COMMITTEE No. 30-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-10 ETF ADVISORY COMMITTEE No. 32-10 SMALL FUNDS COMMITTEE No. 9-10 TRANSFER AGENT ADVISORY COMMITTEE No. 40-10 BROKER/DEALER ADVISORY COMMITTEE No. 29-10 RE: SEC CONCEPT...

[24422]   July 15, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-10 ETF ADVISORY COMMITTEE No. 28-10 SEC RULES COMMITTEE No. 28-10 RE: NFA PETITIONS CFTC TO RESTRICT INVESTMENT COMPANY EXCLUSION FROM RULES GOVERNING COMMODITY POOL OPERATORS; JULY 21 CALL   The National...

[24360]   June 14, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 14-10 ETF ADVISORY COMMITTEE No. 22-10 EQUITY MARKETS ADVISORY COMMITTEE No. 20-10 SEC RULES COMMITTEE No. 25-10 RE: ICI DRAFT COMMENT LETTER ON SEC LARGE TRADER...

[24351]   June 9, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-10 SEC RULES COMMITTEE No. 23-10 RE: SEC PROPOSES CONSOLIDATED AUDIT TRAIL   The Securities and Exchange Commission has proposed to require the Financial Industry Regulatory Authority and the national securities...

    [24311]   May 21, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 10-10 ETF ADVISORY COMMITTEE No. 18-10 EQUITY MARKETS ADVISORY COMMITTEE No. 16-10 SEC RULES COMMITTEE No. 20-10     RE: SEC PROPOSES LARGE TRADER REPORTING...

    [24238]   April 15, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 13-10 SEC RULES COMMITTEE No. 17-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 8-10 ETF ADVISORY COMMITTEE No. 13-10 SMALL FUNDS COMMITTEE No. 4-10 RISK MANAGEMENT...

    [24232]   April 14, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-10     RE: DRAFT AGENDA FOR MAY 20, 2010 COMMITTEE MEETING   As previously announced, a meeting of the Closed-End Investment Company Committee has been scheduled for Thursday, May 20th at the offices of UBS...

    [24195]   March 25, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 9-10 SEC RULES COMMITTEE No. 13-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 5-10 ETF ADVISORY COMMITTEE No. 8-10 RISK MANAGEMENT COMMITTEE No. 5-10     RE: DRAFT...

    [24174]   March 10, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-10     RE: NOTICE OF CLOSED-END INVESTMENT COMPANY COMMITTEE MEETING-THURSDAY, MAY 20TH, 2010 IN NEW YORK   A meeting of the Closed-End Investment Company Committee has been scheduled for Thursday, May 20th...

    [24139]   February 18, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-10 ETF ADVISORY COMMITTEE No. 6-10 SEC RULES COMMITTEE No. 8-10     RE: PROPOSED CHANGES TO NASDAQ'S PRESS RELEASE REQUIREMENTS; YOUR COMMENTS REQUESTED BY FEBRUARY 23RD   The Securities and Exchange...