Small Funds Content

    [21342]   July 9, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 18-07 BROKER/DEALER ADVISORY COMMITTEE No. 31-07 OPERATIONS COMMITTEE No. 13-07 SMALL FUNDS COMMITTEE No. 26-07 TECHNOLOGY ADVISORY COMMITTEE No. 19-07 TRANSFER AGENT ADVISORY COMMITTEE No. 40-07 RE...

    [21312]   June 28, 2007 TO: SEC RULES COMMITTEE No. 54-07 TECHNOLOGY ADVISORY COMMITTEE No. 18-07 COMPLIANCE ADVISORY COMMITTEE No. 12-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-07 BROKER/DEALER ADVISORY COMMITTEE No. 28-07 SMALL FUNDS COMMITTEE No. 24-07 RE: INSTITUTE DRAFT...

    [21311]   June 28, 2007 TO: SEC RULES COMMITTEE No. 55-07 EQUITY MARKETS ADVISORY COMMITTEE No. 35-07 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 17-07 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 17-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 21-07 SMALL FUNDS COMMITTEE No...

    [21289]   June 19, 2007 TO: SEC RULES COMMITTEE No. 52-07 TECHNOLOGY ADVISORY COMMITTEE No. 17-07 COMPLIANCE ADVISORY COMMITTEE No. 11-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-07 BROKER/DEALER ADVISORY COMMITTEE No. 26-07 SMALL FUNDS COMMITTEE No. 23-07 RE: NASD AND NYSE SEEK...

    [21266]   June 18, 2007 TO: SEC RULES COMMITTEE No. 51-07 SMALL FUNDS COMMITTEE No. 22-07 RE: CONFERENCE CALL SCHEDULED FOR JUNE 22 TO DISCUSS INSTITUTE COMMENTS ON RULE 12B-1   As we previously informed you, [1] the Securities and Exchange Commission will hold a roundtable on...

    [21252]   June 14, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 16-07 BROKER/DEALER ADVISORY COMMITTEE No. 25-07 OPERATIONS COMMITTEE No. 12-07 PENSION OPERATIONS ADVISORY COMMITTEE No. 18-07 SMALL FUNDS COMMITTEE No. 21-07 TRANSFER AGENT ADVISORY COMMITTEE No. 33...

  [21220]   June 7, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19-07 COMPLIANCE ADVISORY COMMITTEE No. 10-07 EQUITY MARKETS ADVISORY COMMITTEE No. 31-07 INVESTMENT ADVISERS COMMITTEE No. 12-07 SEC RULES COMMITTEE No. 48-07 SMALL FUNDS COMMITTEE No. 20-07 RE: DRAFT COMMENT...

  URGENT/ACTION REQUESTED [21198]   May 31, 2007 TO: ACCOUNTING/TREASURERS COMMITTEE No. 10-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-07 SEC RULES COMMITTEE No. 46-07 SMALL FUNDS COMMITTEE No. 18-07 TAX COMMITTEE No. 25-07     RE: INSTITUTE'S REVISED DRAFT PROPOSAL TO AMEND...

    [21199]   May 31, 2007 TO: OPERATIONS COMMITTEE No. 9-07 TRANSFER AGENT ADVISORY COMMITTEE No. 28-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 13-07 BROKER/DEALER ADVISORY COMMITTEE No. 23-07 SMALL FUNDS COMMITTEE No. 19-07 TECHNOLOGY ADVISORY COMMITTEE No. 14-07 RE...

    [21164]   May 21, 2007 TO: COMPLIANCE MEMBERS No. 17-07 EQUITY MARKETS ADVISORY COMMITTEE No. 29-07 SEC RULES MEMBERS No. 51-07 SMALL FUNDS COMMITTEE No. 17-07     RE: BROKER-DEALER SETTLES SEC CHARGES RELATING TO BEST EXECUTION   The Securities and Exchange Commission has settled...