Small Funds Content

[30025] July 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 12-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 20-16 BROKER/DEALER ADVISORY COMMITTEE No. 22-16 CHIEF RISK OFFICER COMMITTEE No. 15-16 COMPLIANCE ADVISORY COMMITTEE No. 5-16 INVESTMENT ADVISERS COMMITTEE No. 10-16...

[30010] July 5, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 18-16 BROKER/DEALER ADVISORY COMMITTEE No. 20-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-16 CHIEF RISK OFFICER COMMITTEE No. 14-16 COMPLIANCE ADVISORY COMMITTEE No. 4-16 INVESTMENT ADVISERS COMMITTEE No. 9-16...

[29995] June 23, 2016 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 7-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-16 INTERNAL SALES MANAGERS ROUNDTABLE No. 3-16 SALES AND MARKETING COMMITTEE No. 6-16 SEC RULES COMMITTEE No. 27-16...

[29983] June 16, 2016 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-16 INTERNAL SALES MANAGERS ROUNDTABLE No. 2-16 SALES AND MARKETING COMMITTEE No. 4-16 SEC RULES COMMITTEE No. 26-16...

[29912] May 16, 2016 TO: AML COMPLIANCE WORKING GROUP No. 2-16 BROKER/DEALER ADVISORY COMMITTEE No. 15-16 INVESTMENT ADVISERS COMMITTEE No. 8-16 OPERATIONS COMMITTEE No. 11-16 SEC RULES COMMITTEE No. 23-16 SMALL FUNDS COMMITTEE No. 14-16 TRANSFER AGENT ADVISORY COMMITTEE No. 19-16 RE...

[29846] April 20, 2016 TO: 4-DECIMAL NAV CALCULATION WORKING GROUP ACCOUNTING/TREASURERS COMMITTEE No. 8-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 13-16 BROKER/DEALER ADVISORY COMMITTEE No. 13-16 INTRADAY PROCESSING WORKING GROUP LIQUIDITY FEES/REDEMPTION GATES WORKING...

[29844] April 19, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 7-16 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 4-16 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 26-16 INTERNATIONAL COMMITTEE No. 24-16 INVESTMENT ADVISERS COMMITTEE No. 6-16 SEC RULES COMMITTEE No. 18-16 SMALL FUNDS...

[29823] April 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 6-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 10-16 BROKER/DEALER ADVISORY COMMITTEE No. 10-16 EQUITY MARKETS ADVISORY COMMITTEE No. 12-16 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 12-16 OPERATIONS COMMITTEE...

[29765] March 11, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 4-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-16 CHIEF RISK OFFICER COMMITTEE No. 5-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-16 COMPLIANCE ADVISORY COMMITTEE No. 2-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 6-16...

[29757] March 10, 2016 TO: OPERATIONS COMMITTEE No. 7-16 TRANSFER AGENT ADVISORY COMMITTEE No. 11-16 SMALL FUNDS COMMITTEE No. 9-16 RE: INSTITUTE FILES COMMENT LETTER ON SEC’S TRANSFER AGENT RELEASE   As you may recall, in late December, the Securities and Exchange Commission...