Small Funds Content

[17054] February 3, 2004 TO: BOARD OF GOVERNORS No. 7-04 DIRECTORS’ COMMITTEE No. 4-04 SEC RULES COMMITTEE No. 14-04 SMALL FUNDS COMMITTEE No. 10-04 RE: FIRM RETAINED TO ASSIST CONGRESSIONAL EFFORTS OF INDEPENDENT DIRECTORS Clark & Weinstock, a well-respected lobbying firm in...

[17014] January 28, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-04 SEC RULES COMMITTEE No. 10-04 SMALL FUNDS COMMITTEE No. 7-04 RE: SEC PROPOSES RULE AMENDMENTS TO ENHANCE INDEPENDENCE AND EFFECTIVENESS OF FUND BOARDS The Securities and Exchange Commission (SEC) has...

[17015] January 28, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-04 COMPLIANCE ADVISORY COMMITTEE No. 11-04 INVESTMENT ADVISERS COMMITTEE No. 2-04 SEC RULES COMMITTEE No. 11-04 SMALL FUNDS COMMITTEE No. 8-04 RE: SEC PROPOSES NEW INVESTMENT ADVISER CODE OF ETHICS REQUIREMENT...

[17002] January 23, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-04 COMPLIANCE ADVISORY COMMITTEE No. 10-04 SEC RULES COMMITTEE No. 9-04 SMALL FUNDS COMMITTEE No. 6-04 UNIT INVESTMENT TRUST COMMITTEE No. 5-04 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED REVISIONS TO RULE...

[16986] January 16, 2004 TO: COMPLIANCE ADVISORY COMMITTEE No. 6-04 SEC RULES COMMITTEE No. 7-04 SMALL FUNDS COMMITTEE No. 5-04 RE: DRAFT INSTITUTE COMMENT LETTER ON DISCLOSURE PROPOSAL ON MARKET TIMING, FAIR VALUE PRICING, AND PORTFOLIO HOLDINGS As we previously advised you, the...

[16969] January 14, 2004 TO: BOARD OF GOVERNORS No. 4-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 4-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-04 FEDERAL LEGISLATION MEMBERS No. 1-04 PUBLIC INFORMATION COMMITTEE No. 2-04 SEC RULES COMMITTEE No. 6-04 SMALL FUNDS COMMITTEE No. 4-04...

[16968] January 13, 2004 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 1-04 SEC RULES COMMITTEE No. 5-04 SMALL FUNDS COMMITTEE No. 3-04 RE: DRAFT ICI COMMENT LETTER REGARDING NASD PROPOSAL TO REQUIRE EXPENSE RATIOS IN FUND PERFORMANCE ADVERTISEMENTS; COMMENTS REQUESTED BY JANUARY...

[16965] January 12, 2004 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-04 OPERATIONS COMMITTEE No. 2-04 SEC RULES COMMITTEE No. 4-04 SMALL FUNDS COMMITTEE No. 2-04 TECHNOLOGY ADVISORY COMMITTEE No. 1-04 PRIMARY CONTACTS - MEMBER COMPLEX No. 3-04 RE: NEXT GENERATION FINANCIAL SERVICES...

[16957] January 12, 2004 TO: ACCOUNTING/TREASURERS COMMITTEE No. 1-04 COMPLIANCE ADVISORY COMMITTEE No. 4-04 OPERATIONS COMMITTEE No. 1-04 PENSION COMMITTEE No. 4-04 SEC RULES COMMITTEE No. 2-04 SMALL FUNDS COMMITTEE No. 1-04 TRANSFER AGENT ADVISORY COMMITTEE No. 3-04 RE: DRAFT...

[16919] December 24, 2003 TO: ACCOUNTING/TREASURERS COMMITTEE No. 39-03 EQUITY MARKETS ADVISORY COMMITTEE No. 41-03 RESEARCH COMMITTEE No. 24-03 SEC RULES COMMITTEE No. 107-03 SMALL FUNDS COMMITTEE No. 36-03 RE: SEC ISSUES CONCEPT RELEASE SEEKING COMMENT ON MEASURES TO IMPROVE...