Small Funds Content

    [21692]   October 1, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-07 INVESTMENT ADVISERS COMMITTEE No. 18-07 SEC RULES COMMITTEE No. 75-07 SMALL FUNDS COMMITTEE No. 36-07     RE: DRAFT INSTITUTE COMMENT LETTER ON SEC PROPOSAL TO AMEND REGULATION D; OCTOBER 3rd...

  [21655]   September 24, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-07 SEC RULES COMMITTEE No. 71-07 SMALL FUNDS COMMITTEE No. 35-07 RE: DRAFT INSTITUTE COMMENT LETTER ON SEC PROPOSALS REGARDING SHAREHOLDER ACCESS; SEPTEMBER 26TH CONFERENCE CALL   As you know, the...

  [21609]   September 18, 2007 TO: COMPLIANCE ADVISORY COMMITTEE No. 19-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-07 UNIT INVESTMENT TRUST COMMITTEE No. 8-07 INVESTMENT ADVISERS COMMITTEE No. 17-07 PRIVACY ISSUES WORKING GROUP No. 9-07 SMALL FUNDS COMMITTEE No. 34-07...

[21535]   August 28, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 31-07 BROKER/DEALER ADVISORY COMMITTEE No. 51-07 SMALL FUNDS COMMITTEE No. 33-07 RE: FINCEN ISSUES FINAL RULE ON “ENHANCED DUE DILIGENCE” REQUIREMENTS FOR ACCOUNTS OF CERTAIN FOREIGN BANKS   The...

[21454]   August 9, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-07 INVESTMENT ADVISERS COMMITTEE No. 16-07 SEC RULES COMMITTEE No. 63-07 SMALL FUNDS COMMITTEE No. 32-07 RE: SEC PROPOSES REVISIONS TO REGULATION D; AUGUST 30TH CONFERENCE CALL   The Securities and Exchange...

[21424]   August 2, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 26-07 SEC RULES COMMITTEE No. 61-07 SMALL FUNDS COMMITTEE No. 31-07 RE: SEC ISSUES TWO RELEASES REGARDING SHAREHOLDER PROPOSALS RELATING TO THE ELECTION OF DIRECTORS; AUGUST 22ND CONFERENCE CALL   The Securities...

    [21413]   August 1, 2007 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 14-07 ETF ADVISORY COMMITTEE No. 27-07 EQUITY MARKETS ADVISORY COMMITTEE No. 43-07 FIXED-INCOME ADVISORY COMMITTEE No. 19-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-07 529 PLAN ADVISORY COMMITTEE No. 8-07...

  [21412]   July 31, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 26-07 BROKER/DEALER ADVISORY COMMITTEE No. 44-07 OPERATIONS COMMITTEE No. 20-07 PENSION OPERATIONS ADVISORY COMMITTEE No. 22-07 SMALL FUNDS COMMITTEE No. 29-07 TRANSFER AGENT ADVISORY COMMITTEE No. 44-07...

    [21356]   July 13, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 20-07 BROKER/DEALER ADVISORY COMMITTEE No. 34-07 OPERATIONS COMMITTEE No. 15-07 SEC RULES COMMITTEE No. 58-07 SMALL FUNDS COMMITTEE No. 28-07 TAX COMMITTEE No. 31-07     RE: DRAFT ICI LETTER IN...

    [21360]   July 13, 2007 TO: ACCOUNTING/TREASURERS COMMITTEE No. 15-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-07 ETF ADVISORY COMMITTEE No. 24-07 SEC RULES COMMITTEE No. 57-07 SMALL FUNDS COMMITTEE No. 27-07 RE: WORKING GROUP TO EXAMINE CUSTODY IMPLICATIONS OF FUND...