Small Funds Content

    [23297]   March 5, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-09 ETF ADVISORY COMMITTEE No. 5-09 SEC RULES COMMITTEE No. 11-09 SMALL FUNDS COMMITTEE No. 2-09     RE: SEC PUBLISHES FOR COMMENT NYSE PROPOSAL REGARDING BROKER VOTING ON ELECTIONS OF DIRECTORS AND...

    [23264]   February 20, 2009 TO: BOARD OF GOVERNORS No. 3-09 PRIMARY CONTACTS - MEMBER COMPLEX No. 2-09 SEC RULES COMMITTEE No. 6-09 SMALL FUNDS COMMITTEE No. 1-09     RE: INSTITUTE PRESIDENT’S SUBMISSION TO SEC CHAIRMAN SCHAPIRO   On January 27th, Mary Schapiro was sworn in as the...

    [23155]   December 31, 2008 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 41-08 BROKER/DEALER ADVISORY COMMITTEE No. 52-08 OPERATIONS COMMITTEE No. 23-08 SMALL FUNDS COMMITTEE No. 32-08 TRANSFER AGENT ADVISORY COMMITTEE No. 73-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 24...

[23076] November 20, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 19-08 SEC RULES COMMITTEE No. 83-08 SMALL FUNDS COMMITTEE No. 31-08 RE: RECENT REPORTS DISCUSSING EFFECTIVE RISK MANAGEMENT PRACTICES IN THE FINANCIAL SERVICES INDUSTRY During recent meetings of the Institute’s Chief...

    [23075]   November 19, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 37-08 BOARD OF GOVERNORS No. 14-08 BROKER/DEALER ADVISORY COMMITTEE No. 43-08 ETF ADVISORY COMMITTEE No. 35-08 INVESTMENT COMPANY DIRECTORS No. 25-08...

    [23036]   October 28, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 15-08 ETF ADVISORY COMMITTEE No. 33-08 SEC RULES COMMITTEE No. 76-08 SMALL FUNDS COMMITTEE No. 29-08 TECHNOLOGY COMMITTEE No. 29-08 XBRL SUBCOMMITTEE     RE: REVISED XBRL TAXONOMY AVAILABLE FOR PUBLIC COMMENT   As...

    [23026]   October 24, 2008 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 7-08 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 33-08 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 39-08 SMALL FUNDS COMMITTEE No. 28-08 SEC RULES MEMBERS No. 130-08     RE: FINRA NOTICE TO MEMBERS ON...

    [22986]   October 10, 2008 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-08 SEC RULES COMMITTEE No. 71-08 SMALL FUNDS COMMITTEE No. 27-08     RE: FINRA PROPOSES TO MODIFY PRINCIPAL REVIEW OF MARKET LETTERS   The Securities and Exchange Commission has published for comment...

    [22960]   October 3, 2008 TO: SEC RULES COMMITTEE No. 70-08 INTERNATIONAL COMMITTEE No. 26-08 SMALL FUNDS COMMITTEE No. 26-08 BROKER/DEALER ADVISORY COMMITTEE No. 36-08 TRANSFER AGENT ADVISORY COMMITTEE No. 58-08     RE: INSTITUTE LETTER ON IOSCO POINT OF SALE ISSUES PAPER   As we...

[22936] September 29, 2008 TO: SEC RULES COMMITTEE No. 68-08 INTERNATIONAL COMMITTEE No. 25-08 SMALL FUNDS COMMITTEE No. 25-08 BROKER/DEALER ADVISORY COMMITTEE No. 34-08 TRANSFER AGENT ADVISORY COMMITTEE No. 56-08 RE: DRAFT INSTITUTE LETTER ON IOSCO POINT OF SALE ISSUES PAPER...