Small Funds Content

    [22476]   May 1, 2008 TO: ETF ADVISORY COMMITTEE No. 9-08 SEC RULES COMMITTEE No. 33-08 SMALL FUNDS COMMITTEE No. 15-08 UNIT INVESTMENT TRUST COMMITTEE No. 8-08     RE: ICI DRAFT COMMENT LETTER ON THE SEC'S ETF RULE PROPOSAL; CONFERENCE CALL MAY 9TH   As we previously informed you...

    [22444]   DRAFT April 18, 2008 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 17-08 SEC RULES COMMITTEE No. 29-08 SMALL FUNDS COMMITTEE No. 14-08     RE: REPORTS ON BEST PRACTICES FOR HEDGE FUND MANAGERS AND HEDGE FUND INVESTORS; RECOMMENDATIONS OPEN FOR PUBLIC COMMENT   Earlier...

    [22407]   April 9, 2008 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-08 COMPLIANCE ADVISORY COMMITTEE No. 7-08 INVESTMENT ADVISERS COMMITTEE No. 7-08 OPERATIONS COMMITTEE No. 8-08 PRIVACY ISSUES WORKING GROUP No. 2-08 SEC RULES COMMITTEE No. 28-08 SMALL FUNDS COMMITTEE No...

    [22404]   April 9, 2008 TO: SMALL FUNDS COMMITTEE No. 12-08 TECHNOLOGY COMMITTEE No. 9-08     RE: SEC INSPECTOR GENERAL REPORT CONCLUDES THAT THE SEC LACKS PROPER ACCOUNTABILITY OVER LAPTOPS   The SEC’s Office of Inspector General has published a report containing its findings of...

[22365] March 24, 2008 TO: ETF ADVISORY COMMITTEE No. 4-08SEC RULES COMMITTEE No. 24-08SMALL FUNDS COMMITTEE No. 11-08UNIT INVESTMENT TRUST COMMITTEE No. 6-08 RE: SEC PROPOSED RULES TO PERMIT CERTAIN ETFS TO OPERATE WITHOUT EXEMPTIVE RELIEF FROM THE INVESTMENT COMPANY ACT OF 1940...

    [22350]   March 17, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-08 PENSION COMMITTEE No. 11-08 SEC RULES COMMITTEE No. 23-08 SMALL FUNDS COMMITTEE No. 10-08     RE: SECURITIES REGULATORS ANNOUNCE NEW INITIATIVE TO PROTECT...

[22342] March 14, 2008 TO: COMPLIANCE ADVISORY COMMITTEE No. 6-08INVESTMENT ADVISERS COMMITTEE No. 4-08SEC RULES COMMITTEE No. 22-08SMALL FUNDS COMMITTEE No. 9-08 RE: SEC PROPOSES AMENDMENTS TO PART 2 OF FORM ADV; CONFERENCE CALL SCHEDULED FOR MARCH 28, 2008 The Securities and...

    [22318]   March 10, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 5-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-08 COMPLIANCE ADVISORY COMMITTEE No. 5-08 SEC RULES COMMITTEE No. 19-08 SMALL FUNDS COMMITTEE No. 8-08 UNIT INVESTMENT TRUST COMMITTEE No. 5-08     RE: INSTITUTE COMMENT...

    [22305]   March 7, 2008 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-08 COMPLIANCE ADVISORY COMMITTEE No. 4-08 INVESTMENT ADVISERS COMMITTEE No. 3-08 OPERATIONS COMMITTEE No. 5-08 PRIVACY ISSUES WORKING GROUP No. 1-08 SEC RULES COMMITTEE No. 18-08 SMALL FUNDS COMMITTEE No. 7...

    [22286]   February 29, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 4-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-08 COMPLIANCE ADVISORY COMMITTEE No. 3-08 SEC RULES COMMITTEE No. 16-08 SMALL FUNDS COMMITTEE No. 6-08 UNIT INVESTMENT TRUST COMMITTEE No. 3-08     RE: INSTITUTE DRAFT...