Small Funds Content

    [24077]   January 13, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-10 ETF ADVISORY COMMITTEE No. 1-10 SEC RULES COMMITTEE No. 2-10 SMALL FUNDS COMMITTEE No. 1-10     RE: SEC APPROVES NYSE AMEX PROPOSAL REGARDING BROKER VOTING ON ELECTIONS OF DIRECTORS AND INVESTMENT...

    [24023]   December 17, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-09 ETF ADVISORY COMMITTEE No. 42-09 SEC RULES COMMITTEE No. 73-09 SMALL FUNDS COMMITTEE No. 21-09     RE: COMMENT PERIOD ON PROXY ACCESS PROPOSAL RE-OPENED; COMMENTS DUE TO SEC ON JANUARY 19, 2010   The...

    [23943]   November 10, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 29-09 SEC RULES COMMITTEE No. 65-09 SMALL FUNDS COMMITTEE No. 20-09     RE: DRAFT ICI LETTER ON PROPOSED REVISIONS TO RULES REQUIRING INTERNET AVAILABILITY OF PROXY MATERIALS   As you know, the Securities...

    [23895]   October 22, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 26-09 SEC RULES COMMITTEE No. 62-09 SMALL FUNDS COMMITTEE No. 19-09     RE: SEC PROPOSES REVISIONS TO RULES REQUIRING INTERNET AVAILABILITY OF PROXY MATERIALS   The Securities and Exchange Commission has...

    [23834]   October 1, 2009 TO: OPERATIONS COMMITTEE No. 20-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 46-09 BROKER/DEALER ADVISORY COMMITTEE No. 55-09 TRANSFER AGENT ADVISORY COMMITTEE No. 74-09 SALES FORCE MARKETING COMMITTEE No. 10-09 INTERNAL SALES MANAGERS...

    [23769]   September 9, 2009 TO: ACCOUNTING/TREASURERS COMMITTEE No. 14-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 40-09 BROKER/DEALER ADVISORY COMMITTEE No. 50-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 35-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 40-09...

    [23772]   September 9, 2009 TO: PENSION MEMBERS No. 41-09 SEC RULES MEMBERS No. 95-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 41-09 TRANSFER AGENT ADVISORY COMMITTEE No. 69-09 SMALL FUNDS COMMITTEE No. 17-09 BROKER/DEALER ADVISORY COMMITTEE No. 51-09     RE: DOL...

    [23712] August 14, 2009   TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 33-09 BROKER/DEALER ADVISORY COMMITTEE No. 46-09 OPERATIONS COMMITTEE No. 15-09 SMALL FUNDS COMMITTEE No. 15-09 TRANSFER AGENT ADVISORY COMMITTEE No. 58-09  ...

[23668]   July 30, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-09 ETF ADVISORY COMMITTEE No. 24-09 SEC RULES COMMITTEE No. 45-09 SMALL FUNDS COMMITTEE No. 14-09 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC PROPOSAL TO FACILITATE SHAREHOLDER DIRECTOR NOMINATIONS   The...

    [23635]   July 17, 2009 TO: SEC RULES COMMITTEE No. 43-09 SMALL FUNDS COMMITTEE No. 13-09 BROKER/DEALER ADVISORY COMMITTEE No. 40-09 ETF ADVISORY COMMITTEE No. 22-09     RE: INSTITUTE DRAFT COMMENT LETTER ON FINRA'S PROPOSED COMPENSATION RULE AMENDMENTS; FEEDBACK REQUESTED BY JULY...