SEC Rules Content

    [21416]   August 2, 2007 TO: CEOS CLOSED-END INVESTMENT COMPANY COMMITTEE No. 25-07 COMPLIANCE ADVISORY COMMITTEE No. 15-07 EQUITY MARKETS ADVISORY COMMITTEE No. 44-07 INTERNATIONAL COMMITTEE No. 22-07INVESTMENT ADVISERS COMMITTEE No. 14-07 PENSION COMMITTEE No. 22-07 PRIMARY...

[21424]   August 2, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 26-07 SEC RULES COMMITTEE No. 61-07 SMALL FUNDS COMMITTEE No. 31-07 RE: SEC ISSUES TWO RELEASES REGARDING SHAREHOLDER PROPOSALS RELATING TO THE ELECTION OF DIRECTORS; AUGUST 22ND CONFERENCE CALL   The Securities...

    [21413]   August 1, 2007 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 14-07 ETF ADVISORY COMMITTEE No. 27-07 EQUITY MARKETS ADVISORY COMMITTEE No. 43-07 FIXED-INCOME ADVISORY COMMITTEE No. 19-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-07 529 PLAN ADVISORY COMMITTEE No. 8-07...

    [21356]   July 13, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 20-07 BROKER/DEALER ADVISORY COMMITTEE No. 34-07 OPERATIONS COMMITTEE No. 15-07 SEC RULES COMMITTEE No. 58-07 SMALL FUNDS COMMITTEE No. 28-07 TAX COMMITTEE No. 31-07     RE: DRAFT ICI LETTER IN...

    [21360]   July 13, 2007 TO: ACCOUNTING/TREASURERS COMMITTEE No. 15-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-07 ETF ADVISORY COMMITTEE No. 24-07 SEC RULES COMMITTEE No. 57-07 SMALL FUNDS COMMITTEE No. 27-07 RE: WORKING GROUP TO EXAMINE CUSTODY IMPLICATIONS OF FUND...

    [21324]   July 3, 2007 TO: BOARD OF GOVERNORS No. 18-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 22-07 INDEPENDENT DIRECTORS COUNCIL No. 2-07 INVESTMENT COMPANY DIRECTORS No. 13-07 PRIMARY CONTACTS - MEMBER COMPLEX No. 13-07 SEC RULES COMMITTEE No. 56-07 SMALL FUNDS MEMBERS No...

    [21312]   June 28, 2007 TO: SEC RULES COMMITTEE No. 54-07 TECHNOLOGY ADVISORY COMMITTEE No. 18-07 COMPLIANCE ADVISORY COMMITTEE No. 12-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-07 BROKER/DEALER ADVISORY COMMITTEE No. 28-07 SMALL FUNDS COMMITTEE No. 24-07 RE: INSTITUTE DRAFT...

    [21311]   June 28, 2007 TO: SEC RULES COMMITTEE No. 55-07 EQUITY MARKETS ADVISORY COMMITTEE No. 35-07 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 17-07 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 17-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 21-07 SMALL FUNDS COMMITTEE No...

    [21301]   June 25, 2007 TO: SEC RULES COMMITTEE No. 53-07 INTERNAL AUDIT ADVISORY COMMITTEE No. 3-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-07 RE: COMMENTS REQUESTED ON ICI COMMITTEE’S DRAFT WHITE PAPER ON CHIEF RISK OFFICERS WITHIN THE MUTUAL FUND INDUSTRY   Last year, the...

    [21289]   June 19, 2007 TO: SEC RULES COMMITTEE No. 52-07 TECHNOLOGY ADVISORY COMMITTEE No. 17-07 COMPLIANCE ADVISORY COMMITTEE No. 11-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-07 BROKER/DEALER ADVISORY COMMITTEE No. 26-07 SMALL FUNDS COMMITTEE No. 23-07 RE: NASD AND NYSE SEEK...