Small Funds Content

  [25961] March 5, 2012 TO: OPERATIONS COMMITTEE No. 7-12 SEC RULES COMMITTEE No. 15-12 SMALL FUNDS COMMITTEE No. 6-12 TRANSFER AGENT ADVISORY COMMITTEE No. 15-12 RE: SEC PROPOSES FOR COMMENT "RED FLAG" RULES AS REQUIRED BY THE DODD-FRANK ACT; ICI REQUESTS COMMENTS BY MONDAY, APRIL...

[25959] March 1, 2012 TO: PENSION COMMITTEE No. 8-12 PENSION OPERATIONS ADVISORY COMMITTEE No. 8-12 SEC RULES MEMBERS No. 21-12 SMALL FUNDS COMMITTEE No. 5-12 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 8-12 529 PLAN ADVISORY COMMITTEE No. 1-12 RE: SEC RELEASES A STUDY ON INVESTOR...

  [25888] February 10, 2012 TO: SEC RULES COMMITTEE No. 12-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 7-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-12 ETF ADVISORY COMMITTEE No. 3-12 CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-12 SMALL FUNDS COMMITTEE No. 4-12 RE: CFTC ADOPTS...

  [25883] February 8, 2012 TO: BDAC COST BASIS REPORTING TASK FORCE No. 2-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 7-12 BROKER/DEALER ADVISORY COMMITTEE No. 6-12 OPERATIONS COMMITTEE No. 5-12 SMALL FUNDS COMMITTEE No. 3-12 TAX COMMITTEE No. 10-12 TRANSFER AGENT ADVISORY...

URGENT/ACTION REQUESTED [25870] February 6, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 6-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 2-12 ETF ADVISORY COMMITTEE No. 2-12 EQUITY MARKETS ADVISORY COMMITTEE No. 3-12 FIXED-INCOME...

[25781] January 10, 2012 TO: BDAC COST BASIS REPORTING TASK FORCE No. 1-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 1-12 BROKER/DEALER ADVISORY COMMITTEE No. 1-12 OPERATIONS COMMITTEE No. 1-12 SMALL FUNDS COMMITTEE No. 1-12 TAX COMMITTEE No. 4-12 TRANSFER AGENT ADVISORY...

[25755] December 28, 2011 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 83-11 BROKER/DEALER ADVISORY COMMITTEE No. 87-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 57-11 COMPLIANCE MEMBERS No. 47-11 FIXED-INCOME ADVISORY COMMITTEE No. 82-11 INVESTMENT ADVISER MEMBERS No. 20...

[25749] December 27, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 56-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 52-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 51-11 ETF ADVISORY COMMITTEE No. 71-11 EQUITY MARKETS ADVISORY COMMITTEE No. 68-11 FIXED-INCOME ADVISORY COMMITTEE...

URGENT/ACTION REQUESTED [25741] December 23, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 55-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 51-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 50-11 ETF ADVISORY COMMITTEE No. 70-11 EQUITY MARKETS ADVISORY COMMITTEE No. 67-11 FIXED...

[25733] December 21, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 41-11 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 80-11 BROKER/DEALER ADVISORY COMMITTEE No. 85-11 OPERATIONS COMMITTEE No. 53-11 SMALL FUNDS COMMITTEE No. 56-11 TAX COMMITTEE No. 79-11 TRANSFER AGENT...