Small Funds Content

[27100] March 11, 2013 TO: INVESTMENT ADVISERS COMMITTEE No. 1-13 PENSION COMMITTEE No. 6-13 SEC RULES COMMITTEE No. 14-13 SMALL FUNDS COMMITTEE No. 7-13 RE: NOTICE OF COMMITTEE CONFERENCE CALL: SEC REQUESTS DATA ON POSSIBLE FIDUCIARY DUTY FOR BROKER-DEALERS AND IA-BD HARMONIZATION  ...

[27049] February 25, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-13 SEC RULES COMMITTEE No. 11-13 SMALL FUNDS COMMITTEE No. 5-13 RE: SEC REQUEST FOR COMMENT ON NYSE PROPOSAL REGARDING PROXY DISTRIBUTION FEES; 2/28 CONFERENCE CALL   As you may recall, last year an advisory...

  [27046] February 22, 2013 TO: ACCOUNTING/TREASURERS MEMBERS No. 7-13 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 8-13 SEC RULES MEMBERS No. 26-13 SMALL FUNDS COMMITTEE No. 4-13 TAX MEMBERS No. 12-13 RE: SEC ADDRESSES APPLICATION OF 3.8% TAX ON NET INVESTMENT INCOME TO AFTER-TAX...

[26952] January 30, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 5-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 5-13 BROKER/DEALER ADVISORY COMMITTEE No. 8-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 5-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 2-13 OPERATIONS COMMITTEE...

[26862] January 11, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 3-13 BROKER/DEALER ADVISORY COMMITTEE No. 3-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 2-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 1-13 OPERATIONS COMMITTEE...

[26848] January 8, 2013 TO: BDAC COST BASIS REPORTING TASK FORCE No. 1-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 2-13 BROKER/DEALER ADVISORY COMMITTEE No. 2-13 OPERATIONS COMMITTEE No. 3-13 SMALL FUNDS COMMITTEE No. 1-13 TAAC COST BASIS REPORTING TASK FORCE No. 1-13 TAX...

  [26691] November 16, 2012 TO: ACCOUNTING/TREASURERS COMMITTEE No. 17-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 55-12 BROKER/DEALER ADVISORY COMMITTEE No. 61-12 INDEPENDENT DIRECTORS COUNCIL No. 1-12 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 55-12 MUNICIPAL SECURITIES...

  [26692] November 15, 2012 TO: BDAC COST BASIS REPORTING TASK FORCE No. 15-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 54-12 BROKER/DEALER ADVISORY COMMITTEE No. 60-12 OPERATIONS COMMITTEE No. 47-12 SMALL FUNDS COMMITTEE No. 29-12 TAAC COST BASIS REPORTING TASK FORCE No. 12...

ACTION REQUESTED [26689] November 15, 2012 TO: PENSION COMMITTEE No. 31-12 PENSION OPERATIONS ADVISORY COMMITTEE No. 29-12 SEC RULES COMMITTEE No. 72-12 SMALL FUNDS COMMITTEE No. 28-12 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 22-12 RE: ICI SURVEY -- TDF DISCLOSURES IN SUMMARY...

[26676] November 9, 2012 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 67-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 51-12 BROKER/DEALER ADVISORY COMMITTEE No. 57-12 CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-12 OPERATIONS COMMITTEE No. 44-12 SMALL FUNDS COMMITTEE No. 27-12 RE...