SEC Rules Content

    [22407]   April 9, 2008 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-08 COMPLIANCE ADVISORY COMMITTEE No. 7-08 INVESTMENT ADVISERS COMMITTEE No. 7-08 OPERATIONS COMMITTEE No. 8-08 PRIVACY ISSUES WORKING GROUP No. 2-08 SEC RULES COMMITTEE No. 28-08 SMALL FUNDS COMMITTEE No...

    [22387]   April 3, 2008 TO: MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 16-08 SEC RULES COMMITTEE No. 27-08     RE: REMINDER -- APRIL 8 MEETING OF THE MUNICIPAL SECURITIES ADVISORY COMMITTEE AND AGENDA   As we previously informed you, a meeting of the Municipal Securities Advisory...

    [22381]   March 28, 2008 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 15-08 ETF ADVISORY COMMITTEE No. 6-08 SEC RULES COMMITTEE No. 26-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-08     RE: SEC PROPOSES ANTI-FRAUD SHORT SALE RULE; CONFERENCE CALL SCHEDULED FOR APRIL 9, 2008  ...

    [22371]   March 25, 2008 TO: MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 15-08 SEC RULES COMMITTEE No. 25-08     RE: REMINDER -- APRIL 8 MEETING OF THE MUNICIPAL SECURITIES ADVISORY COMMITTEE AND AGENDA   As we previously informed you, a meeting of the Municipal Securities...

[22365] March 24, 2008 TO: ETF ADVISORY COMMITTEE No. 4-08SEC RULES COMMITTEE No. 24-08SMALL FUNDS COMMITTEE No. 11-08UNIT INVESTMENT TRUST COMMITTEE No. 6-08 RE: SEC PROPOSED RULES TO PERMIT CERTAIN ETFS TO OPERATE WITHOUT EXEMPTIVE RELIEF FROM THE INVESTMENT COMPANY ACT OF 1940...

    [22350]   March 17, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-08 PENSION COMMITTEE No. 11-08 SEC RULES COMMITTEE No. 23-08 SMALL FUNDS COMMITTEE No. 10-08     RE: SECURITIES REGULATORS ANNOUNCE NEW INITIATIVE TO PROTECT...

[22342] March 14, 2008 TO: COMPLIANCE ADVISORY COMMITTEE No. 6-08INVESTMENT ADVISERS COMMITTEE No. 4-08SEC RULES COMMITTEE No. 22-08SMALL FUNDS COMMITTEE No. 9-08 RE: SEC PROPOSES AMENDMENTS TO PART 2 OF FORM ADV; CONFERENCE CALL SCHEDULED FOR MARCH 28, 2008 The Securities and...

    [22331]   March 13, 2008 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-08 SEC RULES COMMITTEE No. 21-08     RE: FREQUENTLY ASKED QUESTIONS ABOUT CLOSED-END FUNDS   The Investment Company Institute recently posted on its website a discussion of closed-end funds that included...

    [22319]   March 11, 2008 TO: MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 11-08 SEC RULES COMMITTEE No. 20-08     RE: REMINDER -- APRIL 8 MUNICIPAL SECURITIES ADVISORY COMMITTEE MEETING AND DRAFT AGENDA   As we previously informed you, a meeting of the Municipal Securities Advisory...

    [22318]   March 10, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 5-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-08 COMPLIANCE ADVISORY COMMITTEE No. 5-08 SEC RULES COMMITTEE No. 19-08 SMALL FUNDS COMMITTEE No. 8-08 UNIT INVESTMENT TRUST COMMITTEE No. 5-08     RE: INSTITUTE COMMENT...