Closed-End Investment Company Content

[13113] February 2, 2001 TO: BANK AND TRUST ADVISORY COMMITTEE No. 2-01 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-01 INTERNATIONAL COMMITTEE No. 8-01 SECURITIES OPERATIONS SUBCOMMITTEE TAX COMMITTEE No. 2-01 TRANSFER AGENT ADVISORY COMMITTEE No. 12-01 UNIT INVESTMENT TRUST...

[13073] January 22, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-01 COMPLIANCE ADVISORY COMMITTEE No. 6-01 SEC RULES COMMITTEE No. 9-01 SMALL FUNDS COMMITTEE No. 1-01 RE: FORMATION OF WORKING GROUP TO ADDRESS REQUIREMENTS IN SEC FUND GOVERNANCE RULES; MEETING ON MARCH 6...

[12957] December 22, 2000 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-00 INVESTMENT ADVISERS COMMITTEE No. 26-00 SEC RULES COMMITTEE No. 134-00 UNIT INVESTMENT TRUST COMMITTEE No. 32-00 RE: SEC SEMI-ANNUAL REGULATORY AGENDA The Securities and Exchange Commission published its...

[12942] December 18, 2000 TO: SEC RULES COMMITTEE No. 133-00 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-00 EQUITY MARKETS ADVISORY COMMITTEE No. 63-00 UNIT INVESTMENT TRUST COMMITTEE No. 30-00 INVESTMENT ADVISERS COMMITTEE No. 25-00 RE: NASD AMENDS PROPOSED RULE CHANGE RELATING TO...

[12914] December 5, 2000 TO: ACCOUNTING/TREASURERS MEMBERS No. 35-00 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-00 SEC RULES MEMBERS No. 79-00 RE: SEC ADOPTS AUDITOR INDEPENDENCE RULES The SEC recently adopted proposals intended to modernize rules for determining whether an...

[12838] November 6, 2000 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 31-00 RE: DRAFT AGENDA FOR NOVEMBER 15 MEETING Attached is a draft agenda for the Closed-End Investment Company Committee meeting scheduled for Wednesday, November 15 at 10:00 a.m. in the David Silver Conference...

[12805] October 27, 2000 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-00 RE: REMINDER - NOTICE OF MEETING – NOVEMBER 15, 2000 A meeting of the Closed-End Investment Company Committee has been scheduled for Wednesday, November 15, 2000 at the offices of the Investment Company...

[12779] October 23, 2000 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 29-00 SEC RULES COMMITTEE No. 124-00 RE: SEC STAFF RELEASES INTERPRETIVE GUIDANCE FOR REGULATION FD The staff of the Securities and Exchange Commission’s Division of Corporation Finance makes available on the SEC...

[12757] October 20, 2000 TO: SMALL FUNDS COMMITTEE No. 5-00 SEC RULES COMMITTEE No. 123-00 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-00 RE: SEC APPROVAL OF AMENDMENTS TO THE MINIMUM LISTING REQUIREMENTS OF NASDAQ’S MUTUAL FUND QUOTATION SERVICE The Securities and Exchange...

[12754] October 19, 2000 TO: BOARD OF GOVERNORS No. 59-00 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-00 DIRECTOR SERVICES COMMITTEE No. 15-00 SEC RULES COMMITTEE No. 122-00 RE: COURT AFFIRMS DISMISSAL OF CLASS ACTIONS ALLEGING BREACH OF FIDUCIARY DUTY AGAINST FUND DIRECTORS AND...