Small Funds Content

    [24778]   December 10, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 62-10 INVESTMENT COMPANY DIRECTORS No. 31-10 OPERATIONS COMMITTEE No. 41-10 SEC RULES COMMITTEE No. 64-10 SMALL FUNDS COMMITTEE No. 29-10 TRANSFER AGENT ADVISORY COMMITTEE No. 84-10 RE: ICI DRAFT LETTER ON FINRA...

  [24780]   December 10, 2010 TO: SEC RULES MEMBERS No. 135-10 CLOSED-END INVESTMENT COMPANY MEMBERS No. 70-10 SMALL FUNDS COMMITTEE No. 30-10 EQUITY MARKETS ADVISORY COMMITTEE No. 52-10 FIXED-INCOME ADVISORY COMMITTEE No. 35-10 ETF ADVISORY COMMITTEE No. 55-10 RE: JOINT INDUSTRY...

  [24773]   December 9, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 53-10 BROKER/DEALER ADVISORY COMMITTEE No. 61-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-10 ETF ADVISORY COMMITTEE No. 53-10 EQUITY MARKETS ADVISORY COMMITTEE No. 51-10 FIXED-INCOME ADVISORY...

[24762] December 6, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 10-10 RISK MANAGEMENT COMMITTEE No. 19-10 SEC RULES COMMITTEE No. 61-10 SMALL FUNDS COMMITTEE No. 27-10 RE: ICI DRAFT COMMENT LETTER ON SEC PROPOSED WHISTLEBLOWER RULES...

    [24760]   December 2, 2010 TO: ACCOUNTING/TREASURERS COMMITTEE No. 15-10 BROKER/DEALER ADVISORY COMMITTEE No. 59-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 65-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 50-10 OPERATIONS COMMITTEE No. 39-10 SEC RULES MEMBERS No. 132-10 SMALL...

  [24746]   November 30, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-10 INVESTMENT ADVISERS COMMITTEE No. 2-10 SEC RULES COMMITTEE No. 60-10 SMALL FUNDS COMMITTEE No. 24-10 RE: SEC PROPOSES CHANGES TO FORM ADV AND AMENDMENTS TO "PAY TO PLAY" RULE AS PART OF BROADER INVESTMENT...

  [24751]   November 30, 2010 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 67-10 ETF ADVISORY COMMITTEE No. 52-10 EQUITY MARKETS ADVISORY COMMITTEE No. 50-10 FIXED-INCOME ADVISORY COMMITTEE No. 33-10 SEC RULES MEMBERS No. 129-10 SMALL FUNDS COMMITTEE No. 25-10 RE: ICI COMMENT LETTER...

  [24737]   November 26, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-10 ETF ADVISORY COMMITTEE No. 51-10 EQUITY MARKETS ADVISORY COMMITTEE No. 48-10 FIXED-INCOME ADVISORY COMMITTEE No. 32-10 SEC RULES COMMITTEE No. 58-10 SMALL FUNDS COMMITTEE No. 23-10 RE: CFTC ISSUES...

    [24704]   November 11, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 25-10 EQUITY MARKETS ADVISORY COMMITTEE No. 43-10 FIXED-INCOME ADVISORY COMMITTEE No. 28-10 SEC RULES COMMITTEE No. 53-10 SMALL FUNDS COMMITTEE No. 22-10 RE: DRAFT ICI LETTER ON SEC AND CFTC PROPOSALS TO...

[24687] November 4, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 9-10 RISK MANAGEMENT COMMITTEE No. 18-10 SEC RULES COMMITTEE No. 49-10 SMALL FUNDS COMMITTEE No. 21-10 RE: SEC PUBLISHES PROPOSED WHISTLEBLOWER RULES FOR COMMENT; CALL TO...