Small Funds Content

    [22235]   February 13, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-08 COMPLIANCE ADVISORY COMMITTEE No. 1-08 SEC RULES COMMITTEE No. 13-08SMALL FUNDS COMMITTEE No. 5-08     RE: SEC PROPOSES RULE TO IMPLEMENT THE SUDAN ACCOUNTABILITY AND DIVESTMENT ACT OF 2007; CONFERENCE...

    [22188]   February 6, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-08 OPERATIONS COMMITTEE No. 3-08 SEC RULES COMMITTEE No. 11-08 SMALL FUNDS COMMITTEE No. 4-08 TRANSFER AGENT ADVISORY COMMITTEE No. 5-08     RE: DRAFT ICI COMMENT LETTER ON SEC DISCLOSURE REFORM PROPOSAL...

    [22169]   January 31, 2008 TO: TECHNOLOGY COMMITTEE No. 1-08 SMALL FUNDS COMMITTEE No. 3-08     RE: 2007 PANDEMIC EXERCISE RESULTS   In 2007, some 2700 financial services firms participated in an industry wide exercise that simulated a three-week global pandemic flu. Results from...

    [22120]   January 14, 2008 TO: SEC RULES COMMITTEE No. 3-08 SMALL FUNDS COMMITTEE No. 2-08 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 2-08 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 2-08     RE: ICI DRAFT COMMENT LETTER ON FINRA PROPOSAL TO MODIFY PRINCIPAL APPROVAL...

    [22087]   January 2, 2008 TO: SEC RULES COMMITTEE No. 1-08 SMALL FUNDS COMMITTEE No. 1-08 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 1-08 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 1-08     RE: SEC PUBLISHES FOR COMMENT FINRA PROPOSAL TO MODIFY PRINCIPAL APPROVAL...

    [22060]   December 18, 2007 TO: SMALL FUNDS COMMITTEE No. 41-07     RE: DISCLOSURE REFORM PROPOSAL - CONFERENCE CALL   As you are aware [i], the Securities and Exchange Commission has proposed amendments to the rules and forms used by mutual funds to register under the Investment...

    [22030]   December 10, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 39-07 INVESTMENT ADVISERS COMMITTEE No. 20-07 SEC RULES COMMITTEE No. 93-07 SMALL FUNDS COMMITTEE No. 40-07     RE: DRAFT INSTITUTE COMMENT LETTER ON SEC PROPOSAL TO MANDATE EDGAR FILINGS OF EXEMPTIVE...

    [22001]   November 30, 2007 TO: SEC RULES COMMITTEE No. 91-07 SMALL FUNDS COMMITTEE No. 39-07 OPERATIONS COMMITTEE No. 32-07 ETF ADVISORY COMMITTEE No. 35-07 TECHNOLOGY COMMITTEE No. 30-07 RE: SEC PROPOSES ENHANCED DISCLOSURE AND NEW DELIVERY OPTION FOR MUTUAL FUNDS; TWO...

  [21936]   November 8, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 38-07 INVESTMENT ADVISERS COMMITTEE No. 19-07 SEC RULES COMMITTEE No. 85-07 SMALL FUNDS COMMITTEE No. 38-07 RE: SEC PROPOSES TO MANDATE EDGAR FILING OF EXEMPTIVE APPLICATIONS; CONFERENCE CALL ON NOVEMBER 15  ...

  [21722]   October 3, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 37-07 BROKER/DEALER ADVISORY COMMITTEE No. 61-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-07 COMPLIANCE ADVISORY COMMITTEE No. 20-07 OPERATIONS COMMITTEE No. 25-07 PENSION OPERATIONS ADVISORY...