Closed-End Investment Company Content

    [23755]   September 2, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 16-09 TAX COMMITTEE No. 23-09     RE: DRAFT ICI LETTER REQUESTING EXTENSION OF IRS’ ARPS GUIDANCE; COMMENTS REQUESTED   Attached for your review is a draft letter to the Treasury Department and the...

[23706]   August 14, 2009 TO: TAX COMMITTEE No. 21-09 TRANSFER AGENT ADVISORY COMMITTEE No. 57-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 32-09 BROKER/DEALER ADVISORY COMMITTEE No. 45-09 OPERATIONS COMMITTEE No. 14-09 ACCOUNTING/TREASURERS COMMITTEE No. 12-09 CLOSED-END...

[23668]   July 30, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-09 ETF ADVISORY COMMITTEE No. 24-09 SEC RULES COMMITTEE No. 45-09 SMALL FUNDS COMMITTEE No. 14-09 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC PROPOSAL TO FACILITATE SHAREHOLDER DIRECTOR NOMINATIONS   The...

    [23651]   July 23, 2009 TO: ACCOUNTING/TREASURERS COMMITTEE No. 11-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-09 RISK MANAGEMENT ADVISORY COMMITTEE No. 7-09 SEC RULES COMMITTEE No. 44-09     RE: SEC PROPOSES ENHANCED COMPENSATION AND GOVERNANCE DISCLOSURE FOR PROXY AND...

    [23625]   July 14, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 32-09 SEC RULES MEMBERS No. 74-09 ETF ADVISORY COMMITTEE No. 20-09 EXCHANGE-TRADED FUNDS (ETF) COMMITTEE No. 5-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-09     RE: CESR ISSUES CONSULTATION PAPER ON SHORT...

    [23561]   June 19, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-09 ETF ADVISORY COMMITTEE No. 16-09 SEC RULES COMMITTEE No. 38-09 SMALL FUNDS COMMITTEE No. 10-09     RE: SEC PROPOSAL TO FACILITATE SHAREHOLDER DIRECTOR NOMINATIONS   The Securities and Exchange Commission...

[23560] June 18, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-09 ETF ADVISORY COMMITTEE No. 15-09 SEC RULES COMMITTEE No. 37-09 SMALL FUNDS COMMITTEE No. 9-09 RE: SEC PROPOSAL TO FACILITATE SHAREHOLDER DIRECTOR NOMINATIONS The Securities and Exchange Commission has proposed...

    [23526]   June 11, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 24-09 ETF ADVISORY COMMITTEE No. 12-09 SEC RULES COMMITTEE No. 33-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-09     RE: DRAFT ICI COMMENT LETTER ON SHORT SALE REGULATION; CONFERENCE CALL SCHEDULED FOR JUNE 15...

    [23493]   May 28, 2009 TO: SEC RULES COMMITTEE No. 27-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-09 SMALL FUNDS COMMITTEE No. 8-09 INVESTMENT ADVISERS COMMITTEE No. 3-09     RE: ICI DRAFT COMMENT LETTER ON FINRA NOTICE TO MEMBERS...

[23427] April 30, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-09 INVESTMENT ADVISERS COMMITTEE No. 1-09 SEC RULES COMMITTEE No. 21-09 SMALL FUNDS COMMITTEE No. 7-09 RE: FINRA NOTICE TO MEMBERS ON ASSOCIATED PERSON REPORTING OF...