Small Funds Content

    [23623]   July 13, 2009 TO: EXCHANGE-TRADED FUNDS SEC RULES COMMITTEE No. 42-09 SMALL FUNDS COMMITTEE No. 12-09     RE: NOTICE OF CONFERENCE CALL FOR INSTITUTE MEMBERS WHO HELD LYONDELL CHEMICAL COMPANY STOCK ON DECEMBER 20, 2007   As you may be aware, the Lyondell Chemical...

    [23561]   June 19, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-09 ETF ADVISORY COMMITTEE No. 16-09 SEC RULES COMMITTEE No. 38-09 SMALL FUNDS COMMITTEE No. 10-09     RE: SEC PROPOSAL TO FACILITATE SHAREHOLDER DIRECTOR NOMINATIONS   The Securities and Exchange Commission...

    [23568]   June 19, 2009 TO: SEC RULES COMMITTEE No. 39-09 SMALL FUNDS COMMITTEE No. 11-09 BROKER/DEALER ADVISORY COMMITTEE No. 33-09 ETF ADVISORY COMMITTEE No. 17-09     RE: FINRA PROPOSES CHANGES TO THE NASD'S COMPENSATION RULE AS PART OF ITS RULE CONSOLIDATION PROCESS; CALL TO...

[23560] June 18, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-09 ETF ADVISORY COMMITTEE No. 15-09 SEC RULES COMMITTEE No. 37-09 SMALL FUNDS COMMITTEE No. 9-09 RE: SEC PROPOSAL TO FACILITATE SHAREHOLDER DIRECTOR NOMINATIONS The Securities and Exchange Commission has proposed...

    [23493]   May 28, 2009 TO: SEC RULES COMMITTEE No. 27-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-09 SMALL FUNDS COMMITTEE No. 8-09 INVESTMENT ADVISERS COMMITTEE No. 3-09     RE: ICI DRAFT COMMENT LETTER ON FINRA NOTICE TO MEMBERS...

[23427] April 30, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-09 INVESTMENT ADVISERS COMMITTEE No. 1-09 SEC RULES COMMITTEE No. 21-09 SMALL FUNDS COMMITTEE No. 7-09 RE: FINRA NOTICE TO MEMBERS ON ASSOCIATED PERSON REPORTING OF...

    [23373]   April 2, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 16-09 BROKER/DEALER ADVISORY COMMITTEE No. 18-09 OPERATIONS COMMITTEE No. 7-09 SMALL FUNDS COMMITTEE No. 6-09 TRANSFER AGENT ADVISORY COMMITTEE No. 28-09     RE: TREASURY ANNOUNCES EXTENSION OF...

    [23327]   March 18, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-09ETF ADVISORY COMMITTEE No. 6-09SEC RULES COMMITTEE No. 12-09SMALL FUNDS COMMITTEE No. 4-09     RE: ICI DRAFT COMMENT LETTER ON NYSE PROPOSAL REGARDING BROKER VOTING ON ELECTIONS OF DIRECTORS AND...

    [23325]   March 18, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-09 COMPLIANCE ADVISORY COMMITTEE No. 3-09 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 9-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 9-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 8-09 SEC RULES COMMITTEE...

[23302]   March 5, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 12-09 BROKER/DEALER ADVISORY COMMITTEE No. 15-09 OPERATIONS COMMITTEE No. 5-09 SMALL FUNDS COMMITTEE No. 3-09 TAX MEMBERS No. 7-09 TRANSFER AGENT ADVISORY COMMITTEE No. 22-09 RE: ICI AND SIFMA LETTER...