Small Funds Content

[30436] November 30, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Advisory Committee Operations CommitteeSecurities Operations...

[30399] November 15, 2016 TO: Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: Member Call on November 21 to Discuss SEC's Proposed Universal Proxy Requirements As you know, the SEC recently issued proposed amendments to the federal proxy rules...

[30372] November 1, 2016 TO: Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee Variable Insurance Products Advisory Committee RE: SEC Proposes to Exempt Funds from Universal Proxy Requirements The SEC recently issued proposed amendments to the federal...

[30371] November 1, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee CCO Advisory Issues Subcommittee Chief Compliance Officer Committee Operations Commitee Pension Operations Advisory Committee Principal Underwriters Working Group Small Funds...

[30361] October 28, 2016 TO: PENSION MEMBERS No. 37-16OPERATIONS MEMBERS No. 36-16SEC RULES COMMITTEE No. 48-16SMALL FUNDS COMMITTEE No. 30-16SALES AND MARKETING COMMITTEE No. 14-16TRANSFER AGENT ADVISORY COMMITTEE No. 57-16BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 44-16BROKER...

[30345] October 26, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 43-16BROKER/DEALER ADVISORY COMMITTEE No. 40-16COMPLIANCE MEMBERS No. 37-16OPERATIONS COMMITTEE No. 26-16PENSION OPERATIONS ADVISORY COMMITTEE No. 7-16PRINCIPAL UNDERWRITERS WORKING GROUP SMALL FUNDS...

[30338] October 24, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 20-16DERIVATIVES MARKETS ADVISORY COMMITTEE No. 64-16ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 30-16ETF ADVISORY COMMITTEE No. 29-16EQUITY MARKETS ADVISORY COMMITTEE No. 47-16FIXED-INCOME ADVISORY COMMITTEE No. 42...