Small Funds Content

[14796] June 12, 2002 TO: SMALL FUNDS COMMITTEE No. 9-02 RE: SUMMARY OF MAY 21 & 22, 2002 MEETING Attached is a summary of the Small Funds Committee meeting held on Tuesday, May 21, and Wednesday May 22, 2002 at the Washington Hilton Hotel in Washington, DC. Please contact me at (202)...

[14737] May 21, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 11-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 22-02 SEC RULES COMMITTEE No. 42-02 SMALL FUNDS COMMITTEE No. 7-02 UNIT INVESTMENT TRUST COMMITTEE No. 12-02 RE: SEC PROPOSES AMENDMENTS TO INVESTMENT COMPANY...

[14700] May 6, 2002 TO: OPERATIONS COMMITTEE No. 8-02 SEC RULES COMMITTEE No. 37-02 SMALL FUNDS COMMITTEE No. 6-02 TECHNOLOGY ADVISORY COMMITTEE No. 5-02 RE: DRAFT COMMENT LETTER ON NASD PROPOSED BUSINESS CONTINUITY PLAN RULE As we previously informed you, the National Association of...

[14659] April 25 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 37-02 SMALL FUNDS COMMITTEE No. 5-02 RE: SEC SETTLES ADMINISTRATIVE PROCEEDINGS INSTITUTED AGAINST TWO ADVISERS AND THEIR OFFICERS FOR SECURITIES LAW VIOLATIONS The Securities and Exchange Commission has recently settled...

[14668] April 24, 2002 TO: OPERATIONS COMMITTEE No. 6-02 SMALL FUNDS COMMITTEE No. 4-02 TRANSFER AGENT ADVISORY COMMITTEE No. 35-02 RE: OFAC FREEZES ASSETS OF TEN MORE TERRORISTS AND TERRORIST ORGANIZATIONS The Office of Foreign Assets Control (OFAC) has added nine individuals and one...

[14660] April 22, 2002 TO: OPERATIONS COMMITTEE No. 5-02 SEC RULES COMMITTEE No. 33-02 SMALL FUNDS COMMITTEE No. 3-02 TECHNOLOGY ADVISORY COMMITTEE No. 4-02 RE: NASD PROPOSED RULE ON BUSINESS CONTINUITY PLANS AND EMERGENCY CONTACT INFORMATION The National Association of Securities...

[14547] March 18, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-02 COMPLIANCE ADVISORY COMMITTEE No. 23-02 MONEY LAUNDERING RULES WORKING GROUP No. 14-02 SEC RULES COMMITTEE No. 22-02 SMALL FUNDS COMMITTEE No. 2-02 TRANSFER AGENT...

[14425] February 4, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-02 COMPLIANCE ADVISORY COMMITTEE No. 10-02 SEC RULES COMMITTEE No. 13-02 SMALL FUNDS COMMITTEE No. 1-02 RE: NASDR SOLICITING INFORMATION TO PREPARE COST-BENEFIT ANALYSIS OF IMPACT OF MODERNIZING CERTAIN OF...

[14100] October 31, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 52-01 INTERNAL AUDIT ADVISORY COMMITTEE No. 7-01 INTERNATIONAL COMMITTEE No. 58-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 13-01 SEC RULES COMMITTEE No. 86-01 SMALL FUNDS COMMITTEE No. 17-01 TRANSFER AGENT ADVISORY...

[14052] October 15, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-01 COMPLIANCE ADVISORY COMMITTEE No. 49-01 OPERATIONS COMMITTEE No. 31-01 PRIVACY ISSUES WORKING GROUP No. 2-01 SEC RULES COMMITTEE No. 82-01 SMALL FUNDS COMMITTEE No. 16-01 TECHNOLOGY ADVISORY COMMITTEE No...