Equity Markets Advisory Content

[17314] March 30, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 11-04 RE: SEC APPROVES NASDAQ CLOSING CROSS The SEC has issued a release (a copy of which is attached) approving a proposed rule change filed by the Nasdaq Stock Market establishing a “Closing Cross” for certain Nasdaq...

[17320] March 30, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 12-04 SEC RULES MEMBERS No. 46-04 RE: SETTLEMENT REACHED WITH NYSE SPECIALIST FIRMS FOR VIOLATING FEDERAL SECURITIES LAWS AND NYSE REGULATIONS The Securities and Exchange Commission and the New York Stock Exchange have...

[17283] March 25, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 10-04 RE: REMINDER - EQUITY MARKETS ADVISORY COMMITTEE MEETING - MARCH 31, 2004 As we previously informed you, a meeting of the Equity Markets Advisory Committee has been scheduled for Wednesday, March 31, 2004 at the...

[17246] March 18, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 9-04 RE: NYSE PROPOSED RULE CHANGE ESTABLISHING PILOT PROGRAM TO PROVIDE AUTOMATIC EXECUTION FOR INSTITUTIONAL XPRESS ORDERS The Securities and Exchange Commission has issued a notice of the filing of a proposed rule...

[17215] March 16, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 7-04 SEC RULES MEMBERS No. 41-04 RE: SEC TO HOLD PUBLIC HEARINGS ON PROPOSED REGULATION NMS The Securities and Exchange Commission has issued a notice of public hearings to be held on proposed Regulation NMS.1 Proposed...

[17217] March 16, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 8-04 SEC RULES COMMITTEE No. 25-04 RE: SEC ENCOURAGES ICI MEMBERS TO COMMENT ON PROPOSED REGULATION NMS SEC Division of Market Regulation Director Annette L. Nazareth has sent a letter to ICI President Matthew P. Fink...

[17206] March 12, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 6-04 SEC RULES COMMITTEE No. 23-04 RE: SEC PROPOSES REGULATION NMS The Securities and Exchange Commission has published for comment proposed Regulation NMS.1 Regulation NMS contains four interrelated proposals that are...

[17157] March 1, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 5-04 RE: NOTICE OF MEETING - MARCH 31, 2004 A meeting of the Equity Markets Advisory Committee has been scheduled for Wednesday, March 31, 2004 at the offices of the Investment Company Institute, 1401 H Street, N.W...

[17130] February 24, 2004 TO: ACCOUNTING/TREASURERS MEMBERS No. 9-04 EQUITY MARKETS ADVISORY COMMITTEE No. 4-04 SEC RULES MEMBERS No. 28-04 SMALL FUNDS MEMBERS No. 22-04 RE: INSTITUTE LETTER ON SEC CONCEPT RELEASE ON MEASURES TO IMPROVE DISCLOSURE OF MUTUAL FUND TRANSACTION COSTS The...

[17090] February 10, 2004 TO: ACCOUNTING/TREASURERS COMMITTEE No. 6-04 EQUITY MARKETS ADVISORY COMMITTEE No. 3-04 SEC RULES COMMITTEE No. 16-04 SMALL FUNDS COMMITTEE No. 12-04 RE: DRAFT INSTITUTE LETTER ON SEC CONCEPT RELEASE ON MEASURES TO IMPROVE DISCLOSURE OF MUTUAL FUND...