Small Funds Content

[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...

[18204] November 17, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 25-04 COMPLIANCE ADVISORY COMMITTEE No. 110-04 SEC RULES COMMITTEE No. 90-04 SMALL FUNDS COMMITTEE No. 49-04 RE: DRAFT ICI COMMENT LETTER ON NASD PROPOSAL TO BAN DIRECTED BROKERAGE -- COMMENTS ON DRAFT REQUESTED BY...

[18185] November 11, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-04 COMPLIANCE ADVISORY COMMITTEE No. 106-04 SEC RULES COMMITTEE No. 88-04 SMALL FUNDS COMMITTEE No. 48-04 RE: NASD ADOPTS CCO DESIGNATION REQUIREMENT WITH A COMPLIANCE DATE OF DECEMBER 1, 2004; ANNUAL CEO...

[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...

[17967] September 10, 2004 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 4-04 SEC RULES COMMITTEE No. 76-04 SMALL FUNDS COMMITTEE No. 46-04 RE: DRAFT ICI COMMENT LETTER ON NASD PROPOSAL TO REQUIRE EXPENSE RATIOS IN FUND PERFORMANCE ADS - CONFERENCE CALL SEPTEMBER 14TH As...

[17895] August 13, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-04 COMPLIANCE ADVISORY COMMITTEE No. 79-04 INVESTMENT ADVISERS COMMITTEE No. 12-04 PRIVACY ISSUES WORKING GROUP No. 5-04 SEC RULES COMMITTEE No. 70-04 SMALL FUNDS COMMITTEE No. 45-04 TRANSFER AGENT ADVISORY...

[17858] August 4, 2004 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 75-04 BOARD OF GOVERNORS No. 51-04 CEOS TECHNOLOGY ADVISORY COMMITTEE No. 21-04 BCP SUBCOMMITTEE SMALL FUNDS COMMITTEE No. 44-04 OPERATIONS COMMITTEE No. 16-04 SEC RULES COMMITTEE No. 68-04 RE: FEDERAL BUREAU OF...

[17856] August 3, 2004 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 74-04 BOARD OF GOVERNORS No. 50-04 CEOS TECHNOLOGY ADVISORY COMMITTEE No. 20-04 BCP SUBCOMMITTEE SMALL FUNDS COMMITTEE No. 43-04 OPERATIONS COMMITTEE No. 15-04 SEC RULES COMMITTEE No. 67-04 RE: THREAT LEVEL INCREASED TO...

[17823] July 28, 2004 TO: SEC RULES COMMITTEE No. 64-04 SMALL FUNDS COMMITTEE No. 42-04 COMPLIANCE ADVISORY COMMITTEE No. 76-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-04 INVESTMENT ADVISERS COMMITTEE No. 10-04 TRANSFER AGENT ADVISORY COMMITTEE No. 65-04 UNIT INVESTMENT TRUST...

[17803] July 23, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-04 COMPLIANCE ADVISORY COMMITTEE No. 74-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 72-04 SEC RULES COMMITTEE No. 62-04 SMALL FUNDS COMMITTEE No. 41-04 UNIT INVESTMENT TRUST COMMITTEE No. 18-04 RE: NEW CHIEF...