Small Funds Content

  [25293] June 22, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 14-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 35-11 BROKER/DEALER ADVISORY COMMITTEE No. 36-11 OPERATIONS COMMITTEE No. 21-11 SMALL FUNDS COMMITTEE No. 24-11 TAX COMMITTEE No. 37-11 TRANSFER AGENT...

  [25296] June 22, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 16-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 37-11 BROKER/DEALER ADVISORY COMMITTEE No. 38-11 OPERATIONS COMMITTEE No. 22-11 SMALL FUNDS COMMITTEE No. 25-11 TAX COMMITTEE No. 38-11 TRANSFER AGENT...

  [25256] June 7, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 13-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 32-11 BROKER/DEALER ADVISORY COMMITTEE No. 33-11 COMPLIANCE ADVISORY COMMITTEE No. 4-11 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-11 OPERATIONS COMMITTEE No. 20...

  [25236] June 1, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 12-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 30-11 BROKER/DEALER ADVISORY COMMITTEE No. 31-11 OPERATIONS COMMITTEE No. 19-11 SMALL FUNDS COMMITTEE No. 22-11 TAX COMMITTEE No. 33-11 TRANSFER AGENT ADVISORY...

[25225] May 25, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-11 SEC RULES COMMITTEE No. 55-11 SMALL FUNDS COMMITTEE No. 21-11 RE: DRAFT ICI COMMENT LETTER ON PROPOSED AMENDMENTS TO FINRA’S CASH COMPENSATION AND REVENUE SHARING DISCLOSURE RULES   As you know, FINRA has...

[25194] May 18, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 10-11 BROKER/DEALER ADVISORY COMMITTEE No. 26-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 27-11 OPERATIONS COMMITTEE No. 16-11 SMALL FUNDS COMMITTEE No. 20-11 TAX COMMITTEE No. 28-11 TRANSFER AGENT ADVISORY...

[25191] May 17, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 26-11 BROKER/DEALER ADVISORY COMMITTEE No. 25-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-11 ETF ADVISORY COMMITTEE No. 33-11 EQUITY MARKETS ADVISORY COMMITTEE No. 23-11 FIXED-INCOME ADVISORY COMMITTEE...

  [25184] May 12, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 25-11 SEC RULES COMMITTEE No. 46-11 SMALL FUNDS COMMITTEE No. 18-11 RE: FINRA SEEKS TO ADOPT AMENDMENTS TO CASH COMPENSATION AND REVENUE SHARING DISCLOSURE RULES...

[25177] May 9, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-11 DERIVATIVES MARKETS ADVISORY COMMITTEE ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 13-11 ETF ADVISORY COMMITTEE No. 30-11 EQUITY MARKETS ADVISORY COMMITTEE No. 22-11 FIXED-INCOME ADVISORY COMMITTEE No. 37-11 SEC...

[25164] May 4, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-11 DERIVATIVES MARKETS ADVISORY COMMITTEE ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 11-11 ETF ADVISORY COMMITTEE No. 28-11 EQUITY MARKETS ADVISORY COMMITTEE No. 20-11 FIXED-INCOME ADVISORY COMMITTEE No. 34-11 SEC...