Small Funds Content

[27422] July 30, 2013 TO: SMALL FUNDS COMMITTEE No. 16-13 RE: SMALL FUNDS COMMITTEE MEETING - SEPTEMBER 25 & 26, 2013   Fall 2013 Meeting The next ICI Small Funds [1] Meeting is scheduled for September 25 & 26, 2013 at the JW Marriott San Antonio Hill Country Resort and Spa in San...

[27370] July 12, 2013 TO: SEC RULES COMMITTEE No. 29-13 SMALL FUNDS COMMITTEE No. 15-13 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 15-13 INVESTMENT ADVISERS COMMITTEE No. 3-13 RE: SEC LIFTS BAN ON GENERAL SOLICITATION AND ADVERTISING FOR PRIVATE FUNDS AND PROPOSES RELATED INVESTOR...

[27326] June 20, 2013 TO: SEC RULES COMMITTEE No. 27-13 INVESTMENT ADVISERS COMMITTEE No. 2-13 SMALL FUNDS COMMITTEE No. 14-13 PENSION COMMITTEE No. 13-13 RE: DRAFT COMMENT LETTER TO SEC IN RESPONSE TO RFI ON POSSIBLE FIDUCIARY DUTY FOR BROKER-DEALERS AND IA-BD HARMONIZATION; COMMENTS...

[27298] June 12, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-13 SEC RULES COMMITTEE No. 26-13 SMALL FUNDS COMMITTEE No. 13-13 RE: DRAFT ADDITIONAL ICI LETTER ON NYSE PROPOSAL REGARDING PROXY DISTRIBUTION FEES; YOUR COMMENTS REQUESTED BY 6/18   As we previously informed you...

[27287] June 10, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 17-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 15-13 BROKER/DEALER ADVISORY COMMITTEE No. 28-13 INVESTMENT COMPANY DIRECTORS No. 9-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 13-13 MUNICIPAL SECURITIES ADVISORY...

[27264] June 4, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 16-13 END OF DAY PRICING FORUM No. 3-13 SEC RULES COMMITTEE No. 24-13 SMALL FUNDS COMMITTEE No. 11-13 RE: DRAFT LETTER TO SEC STAFF ON THE POTENTIAL FOR VALUATION GUIDANCE   As you know, the issuance of valuation guidance is...

[27212] May 1, 2013 TO: 529 PLAN MEMBERS No. 2-13 ACCOUNTING/TREASURERS MEMBERS No. 16-13 ADVISER DISTRIBUTOR TAX ISSUES TASK FORCE No. 4-13 BDAC COST BASIS REPORTING TASK FORCE No. 3-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 10-13 BROKER/DEALER ADVISORY COMMITTEE No. 21-13...

[27181] April 15, 2013 TO: OPERATIONS COMMITTEE No. 18-13 SMALL FUNDS COMMITTEE No. 9-13 SEC RULES COMMITTEE No. 16-13 TRANSFER AGENT ADVISORY COMMITTEE No. 30-13 RE: SEC ADOPTS IDENTITY THEFT RED FLAG REGULATION AS REQUIRED BY THE DODD-FRANK ACT; COMPLIANCE DATE SET FOR OCTOBER 2013...

[27171] April 10, 2013 TO: SEC RULES COMMITTEE No. 15-13 EQUITY MARKETS ADVISORY COMMITTEE No. 9-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-13 SMALL FUNDS COMMITTEE No. 8-13 RE: DRAFT ICI LETTER ON PETITION FOR RULEMAKING TO SHORTEN REPORTING DEADLINE UNDER SECTION 13(F) OF THE...

[27095] March 11, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-13 SEC RULES COMMITTEE No. 13-13 SMALL FUNDS COMMITTEE No. 6-13 RE: DRAFT ICI COMMENT LETTER ON NYSE PROPOSAL REGARDING PROXY DISTRIBUTION FEES; YOUR COMMENTS REQUESTED BY 3/13   As  previously indicated, the...