Equity Markets Advisory Content

[17837] August 3, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 35-04 RE: PACIFIC EXCHANGE PROPOSES RULE CHANGE RELATING TO NEW ORDER TYPE ON THE ARCHIPELAGO EXCHANGE The Securities and Exchange Commission has published for comment a proposed rule change filed by the Pacific Exchange...

[17813] July 29, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 34-04 RE: SEC AND NYSE REACH SETTLEMENTS WITH NYSE SPECIALIST FIRMS FOR VIOLATING FEDERAL SECURITIES LAWS AND NYSE REGULATIONS The Securities and Exchange Commission and the New York Stock Exchange have announced the...

[17801] July 23, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 33-04 RE: SENATE BANKING COMMITTEE HEARINGS ON REGULATION NMS The U.S. Senate Committee on Banking, Housing, and Urban Affairs held two days of hearings on the structure of the U.S. securities markets, entitled...

[17757] July 7, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 32-04 RE: NOTICE OF MEETING - SEPTEMBER 22, 2004 In conjunction with the Institute’s Equity Markets Conference, a meeting of the Equity Markets Advisory Committee has been scheduled for Wednesday, September 22, 2004 at the...

[17722] July 1, 2004 TO: SEC RULES MEMBERS No. 96-04 EQUITY MARKETS ADVISORY COMMITTEE No. 31-04 RE: INSTITUTE COMMENT LETTER ON SEC REGULATION NMS The Institute has filed a comment letter with the Securities and Exchange Commission on proposed Regulation NMS and the Commission’s...

[17691] June 21, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 30-04 RE: NASDAQ PROPOSED RULE CHANGE RELATING TO NEW OPENING PROCESS The Securities and Exchange Commission has published for comment a proposed rule change filed by The Nasdaq Stock Market that would establish a new...

[17677] June 15, 2004 TO: PENSION MEMBERS No. 32-04 PENSION OPERATIONS ADVISORY COMMITTEE No. 41-04 EQUITY MARKETS ADVISORY COMMITTEE No. 28-04 COMPLIANCE ADVISORY COMMITTEE No. 62-04 RE: DOL ADVISORY OPINION ON APPLICABILITY OF ERISA PROHIBITED TRANSACTION RULES TO ALTERNATIVE...

[17625] June 4, 2004 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 38-04 EQUITY MARKETS ADVISORY COMMITTEE No. 26-04 SEC RULES MEMBERS No. 83-04 RE: INSTITUTE COMMENT LETTER ON SEC PROPOSAL TO REQUIRE ELECTRONIC FILING AND POSTING OF PROPOSED RULE CHANGES OF SELF-REGULATORY...

[17608] May 27, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 25-04 SEC RULES COMMITTEE No. 50-04 RE: SEC EXTENDS COMMENT PERIOD FOR PROPOSED REGULATION NMS AND ISSUES SUPPLEMENTAL REQUEST FOR COMMENT The Securities and Exchange Commission has formally extended the comment period for...

[17564] May 21, 2004 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 21-04 EQUITY MARKETS ADVISORY COMMITTEE No. 24-04 SEC RULES COMMITTEE No. 46-04 RE: DRAFT INSTITUTE COMMENT LETTER ON SEC PROPOSAL TO REQUIRE ELECTRONIC FILING AND POSTING OF PROPOSED RULE CHANGES OF SELF- REGULATORY...