Small Funds Content

[13544] May 25, 2001 TO: INVESTMENT ADVISER MEMBERS No. 11-01 SEC RULES MEMBERS No. 46-01 ELECTRONIC COMMERCE ADVISORY COMMITTEE No. 13-01 OPERATIONS MEMBERS No. 13-01 SMALL FUNDS COMMITTEE No. 5-01 TECHNOLOGY ADVISORY COMMITTEE No. 7-01 TRANSFER AGENT ADVISORY COMMITTEE No. 38-01...

[13438] April 24, 2001 TO: ACCOUNTING/TREASURERS COMMITTEE No. 11-01 END OF DAY PRICING FORUM No. 1-01 PUBLIC INFORMATION COMMITTEE No. 10-01 SHAREHOLDER COMMUNICATIONS COMMITTEE No. 4-01 SMALL FUNDS COMMITTEE No. 4-01 RE: WALL STREET JOURNAL FUND TABLES The Wall Street Journal has...

[13337] April 3, 2001 TO: INVESTMENT ADVISERS COMMITTEE No. 10-01 SEC RULES COMMITTEE No. 33-01 SMALL FUNDS COMMITTEE No. 3-01 STATE SECURITIES MEMBERS No. 4-01 RE: NASAA PUBLISHES REVISED FORMS U-4 AND U-5 FOR COMMENT In anticipation of the rollout of the next phase of Investment...

[13262] March 14, 2001 TO: ACCOUNTING/TREASURERS COMMITTEE No. 8-01 OPERATIONS COMMITTEE No. 9-01 SEC RULES COMMITTEE No. 24-01 SMALL FUNDS COMMITTEE No. 2-01 RE: FINANCIAL SERVICES INFORMATION SHARING AND ANALYSIS CENTER In 1997, the President’s Commission on Critical Infrastructure...

[13073] January 22, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-01 COMPLIANCE ADVISORY COMMITTEE No. 6-01 SEC RULES COMMITTEE No. 9-01 SMALL FUNDS COMMITTEE No. 1-01 RE: FORMATION OF WORKING GROUP TO ADDRESS REQUIREMENTS IN SEC FUND GOVERNANCE RULES; MEETING ON MARCH 6...

[12757] October 20, 2000 TO: SMALL FUNDS COMMITTEE No. 5-00 SEC RULES COMMITTEE No. 123-00 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-00 RE: SEC APPROVAL OF AMENDMENTS TO THE MINIMUM LISTING REQUIREMENTS OF NASDAQ’S MUTUAL FUND QUOTATION SERVICE The Securities and Exchange...

[12107] June 26, 2000 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 21-00 SEC RULES COMMITTEE No. 92-00 SMALL FUNDS COMMITTEE No. 3-00 RE: INSTITUTE COMMENT LETTER ON PROPOSED CHANGES TO MUTUAL FUND QUOTATION SERVICE The Institute has filed with the Securities and Exchange...

[11957] June 16, 2000 TO: BOARD OF GOVERNORS No. 33-00 BROKER/DEALER ADVISORY COMMITTEE No. 13-00 DIRECT MARKETING COMMITTEE No. 12-00 INDUSTRY STATISTICS COMMITTEE No. 5-00 OPERATIONS COMMITTEE No. 13-00 PENSION COMMITTEE No. 40-00 PENSION OPERATIONS ADVISORY COMMITTEE No. 42-00...

* See Memorandum to Closed-End Investment Company Committee No. 44-99, Investment Advisers Committee No. 16- 99, Operations Committee No. 43-99, SEC Rules Committee No. 96-99, Small Funds Committee No. 18-99, Transfer Agent Advisory Committee No. 70-99, and Unit Investment Trust...

* See Memorandum to Closed-End Investment Company Committee No. 35-99, Director Services Committee No. 25-99 and SEC Rules Committee No. 79-99, dated October 19, 1999 and Memorandum to Small Funds Committee No. 15-99, dated October 22, 1999. [11498] December 29, 1999 TO: CLOSED-END...