Small Funds Content

[18631] March 4, 2005 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-05 OPERATIONS COMMITTEE No. 3-05 SEC RULES COMMITTEE No. 20-05 SMALL FUNDS COMMITTEE No. 7-05 TECHNOLOGY ADVISORY COMMITTEE No. 5-05 TRANSFER AGENT ADVISORY COMMITTEE No. 6-05 VARIABLE INSURANCE PRODUCTS ADVISORY...

[18625] March 4, 2005 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-05 COMPLIANCE ADVISORY COMMITTEE No. 20-05 CHIEF COMPLIANCE OFFICER COMMITTEE No. 22-05 EQUITY MARKETS ADVISORY COMMITTEE No. 16-05 SEC RULES COMMITTEE No. 19-05 SMALL FUNDS COMMITTEE No. 6-05 RE: SEC AND NASD...

[18570] February 23, 2005 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-05 PRIMARY CONTACTS - MEMBER COMPLEX No. 10-05 BOARD OF GOVERNORS No. 9-05 CEOS SEC RULES COMMITTEE No. 16-05 SMALL FUNDS COMMITTEE No. 5-05 UNIT INVESTMENT TRUST COMMITTEE No. 2-05 RE: CLASS ACTION REFORM...

[18545] February 15, 2005 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 13-05 COMPLIANCE ADVISORY COMMITTEE No. 12-05 SEC RULES COMMITTEE No. 15-05 SMALL FUNDS COMMITTEE No. 4-05 RE: HEARING OFFICER DISMISSES SEC ENFORCEMENT PROCEEDING ALLEGING FRAUD IN CONNECTION WITH SALES OF CLASS B...

[18531] February 10, 2005 TO: BANK AND TRUST ADVISORY COMMITTEE No. 2-05 BROKER/DEALER ADVISORY COMMITTEE No. 3-05 OPERATIONS COMMITTEE No. 1-05 TRANSFER AGENT ADVISORY COMMITTEE No. 3-05 SMALL FUNDS COMMITTEE No. 3-05 RE: INSTITUTE URGES VOLUNTARY IMPLEMENTATION OF CENTRAL BREAKPOINT...

[18475] January 28, 2005 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-05 INVESTMENT ADVISERS COMMITTEE No. 5-05 SEC RULES COMMITTEE No. 9-05 SMALL FUNDS COMMITTEE No. 2-05 UNIT INVESTMENT TRUST COMMITTEE No. 1-05 RE: SEC SEMI-ANNUAL REGULATORY AGENDA Last month, the Securities...

[18410] January 12, 2005 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-05 COMPLIANCE ADVISORY COMMITTEE No. 2-05 INVESTMENT ADVISERS COMMITTEE No. 2-05 SEC RULES COMMITTEE No. 3-05 SMALL FUNDS COMMITTEE No. 1-05 RE: DRAFTING GUIDE FOR CODES OF ETHICS UNDER RULES 17j-1 AND 204A-1...

[18369] December 22, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 122-04 PENSION COMMITTEE No. 60-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 85-04 SEC RULES COMMITTEE No. 100-04 SMALL FUNDS COMMITTEE No. 53-04 RE: SEC APPROVES NASD’S PROPOSED BAN ON DIRECTED BROKERAGE The Securities...

[18322] December 10, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 33-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 46-04 COMPLIANCE ADVISORY COMMITTEE No. 118-04 EQUITY MARKETS ADVISORY COMMITTEE No. 51-04 INVESTMENT ADVISERS COMMITTEE No. 20-04 SEC RULES COMMITTEE No. 97-04 SMALL...

[18287] December 2, 2004 TO: BOARD OF GOVERNORS No. 82-04 CEOS BROKER/DEALER ADVISORY COMMITTEE No. 30-04 OPERATIONS COMMITTEE No. 22-04 SEC RULES COMMITTEE No. 95-04 SMALL FUNDS COMMITTEE No. 51-04 TRANSFER AGENT ADVISORY COMMITTEE No. 81-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 32...