Closed-End Investment Company Content

[18286] December 2, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 49-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 45-04 SEC RULES COMMITTEE No. 94-04 RE: SEC DELAYS REGULATION SHO PILOT PERIOD The SEC has issued an order delaying the pilot period for suspension of the operation of...

[18248] November 24, 2004 TO: BOARD OF GOVERNORS No. 80-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 29-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 43-04 COMPLIANCE ADVISORY COMMITTEE No. 114-04 EQUITY MARKETS ADVISORY COMMITTEE No. 47-04 INDEPENDENT DIRECTORS COUNCIL No. 13-04...

[18254] November 24, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 44-04 SEC RULES COMMITTEE No. 93-04 SMALL FUNDS COMMITTEE No. 50-04 RE: SEC PROPOSES TO EXPAND ELIGIBLE INVESTMENTS BY BUSINESS DEVELOPMENT COMPANIES; COMMENTS REQUESTED BY DECEMBER 10TH The Securities and...

[18178] November 9, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 42-04 SEC RULES COMMITTEE No. 86-04 RE: SEC STAFF PROVIDES GUIDANCE ON STAFF REVIEW OF SHAREHOLDER PROPOSALS The staff of the Securities and Exchange Commission’s Division of Corporation Finance recently issued a...

[18159] November 5, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 41-04 RE: SURVEY OF CLOSED-END INVESTMENT COMPANY COMMITTEE MEMBERS REGARDING COMMITTEE MEETINGS -- RESPONSE REQUESTED BY NOVEMBER 15TH At the November 3rd Closed-End Investment Company meeting, we distributed a...

[18127] October 22, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 40-04 RE: DRAFT AGENDA FOR NOVEMBER 3RD COMMITTEE MEETING As we previously informed you,∗ the next meeting of the Closed-End Investment Company Committee is scheduled for Wednesday, November 3, 2004. The meeting...

[18073] October 12, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 39-04 COMPLIANCE ADVISORY COMMITTEE No. 98-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 93-04 SEC RULES COMMITTEE No. 80-04 SMALL FUNDS COMMITTEE No. 47-04 RE: NEW...

[18091] October 12, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 38-04 RE: NOTICE OF CLOSED-END INVESTMENT COMPANY COMMITTEE MEETING - NOVEMBER 3, 2004 A meeting of the Closed-End Investment Company Committee has been scheduled for Wednesday, November 3, 2004 at the offices of...

[18008] September 15, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 37-04 SEC RULES COMMITTEE No. 78-04 RE: PROPOSED CHANGES TO NYSE CORPORATE GOVERNANCE REQUIREMENTS; YOUR VIEWS REQUESTED BY SEPTEMBER 21st The Securities and Exchange Commission has asked for comments on...

[17974] September 10, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-04 RE: DRAFT INSTITUTE NO-ACTION REQUEST REGARDING APPLICATION OF RULE 38a-1 TO CLOSED-END FUND UNDERWRITING SYNDICATE MEMBERS; YOUR COMMENTS REQUESTED BY SEPTEMBER 15TH The Institute has prepared the...