Small Funds Content

  [24893] January 20, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 3-11 ETF ADVISORY COMMITTEE No. 7-11 EQUITY MARKETS ADVISORY COMMITTEE No. 7-11 FIXED-INCOME ADVISORY COMMITTEE No. 8-11 INTERNATIONAL COMMITTEE No. 3-11...

[24871] January 12, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-11 INVESTMENT ADVISERS COMMITTEE No. 1-11 SEC RULES COMMITTEE No. 5-11 SMALL FUNDS COMMITTEE No. 4-11 RE: DRAFT ICI LETTER ON PROPOSED CHANGES TO FORM ADV AND AMENDMENTS TO “PAY-TO-PLAY” RULE   As you know, the...

[24863] January 11, 2011 TO: TAX COMMITTEE No. 3-11 SMALL FUNDS COMMITTEE No. 3-11 OPERATIONS COMMITTEE No. 2-11 COMPLIANCE ADVISORY COMMITTEE No. 2-11 BROKER/DEALER ADVISORY COMMITTEE No. 2-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 2-11 TRANSFER AGENT ADVISORY COMMITTEE...

  [24847] January 10, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-11 ETF ADVISORY COMMITTEE No. 2-11 EQUITY MARKETS ADVISORY COMMITTEE No. 2-11 FIXED-INCOME ADVISORY COMMITTEE No. 1-11 SEC RULES COMMITTEE No. 2-11 SMALL FUNDS COMMITTEE No. 2-11 RE: DRAFT LETTER ON CFTC...

  [24844] January 7, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 1-11 BDAC COST BASIS REPORTING TASK FORCE No. 1-11 BROKER/DEALER ADVISORY COMMITTEE No. 1-11 SMALL FUNDS COMMITTEE No. 1-11 TAX COMMITTEE No. 1-11 TRANSFER AGENT ADVISORY COMMITTEE No. 1-11 OPERATIONS...

    [24816]   December 28, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-10 ETF ADVISORY COMMITTEE No. 58-10 EQUITY MARKETS ADVISORY COMMITTEE No. 55-10 FIXED-INCOME ADVISORY COMMITTEE No. 37-10 SEC RULES COMMITTEE No. 69-10 SMALL FUNDS COMMITTEE No. 35-10 RE: CFTC AND SEC...

[24814] December 23, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 64-10 INVESTMENT COMPANY DIRECTORS No. 35-10 OPERATIONS COMMITTEE No. 43-10 SEC RULES COMMITTEE No. 67-10 SMALL FUNDS COMMITTEE No. 34-10 TRANSFER AGENT ADVISORY COMMITTEE No. 87-10 RE: ICI FILES COMMENT LETTER WITH...

    [24809]   December 21, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 46-10 BROKER/DEALER ADVISORY COMMITTEE No. 63-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 68-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 53-10 OPERATIONS COMMITTEE No. 42-10 SEC RULES MEMBERS No. 140-10 SMALL...

  [24803]   December 20, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 11-10 RISK MANAGEMENT COMMITTEE No. 20-10 SEC RULES COMMITTEE No. 66-10 SMALL FUNDS COMMITTEE No. 32-10 RE: ICI FILES COMMENT LETTER ON SEC PROPOSED WHISTLEBLOWER RULES...

[24788] December 14, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 29-10 ETF ADVISORY COMMITTEE No. 56-10 EQUITY MARKETS ADVISORY COMMITTEE No. 53-10 FIXED-INCOME ADVISORY COMMITTEE No. 36-10 SEC RULES COMMITTEE No. 65-10 SMALL FUNDS COMMITTEE No. 31-10 RE: CFTC AND SEC JOINTLY...