Derivatives Market Advisory Committee Content

[27873] January 30, 2014 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 8-14 EQUITY MARKETS ADVISORY COMMITTEE No. 1-14 SEC RULES MEMBERS No. 5-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 2-14 ETF ADVISORY COMMITTEE No. 1-14 RE: CFTC REOPENS COMMENT PERIOD FOR CONCEPT RELEASE ON RISK...

[27861] January 24, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 5-14 OPERATIONS COMMITTEE No. 3-14 SECURITIES OPERATIONS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 6-14 RE: NFA...

[27852] January 22, 2014 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 4-14 INVESTMENT ADVISER MEMBERS No. 2-14 RE: CFTC CERTIFIES SEF’S “MADE AVAILABLE TO TRADE” SUBMISSION   The Commodity Futures Trading Commission (“CFTC”) announced the certification of the first “made available...

[27820] January 6, 2014 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 1-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 2-14 ICI GLOBAL MEMBERS No. 1-14 INTERNATIONAL MEMBERS No. 1-14 INVESTMENT ADVISER MEMBERS No. 1-14 SEC RULES MEMBERS No. 1-14 RE: CFTC ISSUES CROSS-BORDER SUBSTITUTED...

[27817] January 2, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 1-14 SEC RULES COMMITTEE No. 1-14 RE: DRAFT ICI COMMENT LETTER ON CFTC’S AGGREGATION PROPOSAL; MEMBER COMMENTS REQUESTED BY WEDNESDAY, JANUARY 8   Recently, the...

[27815] December 30, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 34-13 BOARD OF GOVERNORS No. 17-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 90-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 40-13 ETF ADVISORY COMMITTEE No. 39-13...

[27807] December 23, 2013 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 102-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 89-13 ICI GLOBAL MEMBERS INTERNATIONAL MEMBERS No. 56-13 INVESTMENT ADVISER MEMBERS No. 77-13 SEC RULES MEMBERS No. 116-13 RE: CFTC ISSUES CROSS-BORDER SUBSTITUTED...

[27804] December 20, 2013 TO: ACCOUNTING/TREASURERS MEMBERS No. 31-13 BOARD OF GOVERNORS No. 16-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 88-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 39-13 ETF ADVISORY COMMITTEE No. 38-13 EQUITY...

[27769] December 13, 2013 TO: BOARD OF GOVERNORS No. 15-13 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 87-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 37-13 ETF ADVISORY COMMITTEE No. 37-13...

[27747] December 6, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 32-13 CLOSED-END INVESTMENT COMPANY MEMBERS No. 98-13 COMPLIANCE MEMBERS No. 45-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 86-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 36-13 ETF ADVISORY COMMITTEE No. 36-13...