Equity Markets Advisory Content

[16186] June 10, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 14-03 SEC RULES COMMITTEE No. 55-03 RE: DRAFT INSTITUTE LETTER ON SEC CONCEPT RELEASE REGARDING THE REGULATION OF NASDAQ-LISTED SECURITIES As we previously informed you, the SEC has issued a concept release requesting...

[16158] June 4, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 13-03 SEC RULES MEMBERS No. 68-03 SMALL FUNDS MEMBERS No. 25-03 RE: NYSE/NASD IPO ADVISORY COMMITTEE REPORT AND RECOMMENDATIONS TO IMPROVE THE IPO PROCESS In October 2002, the New York Stock Exchange and the National...

[16136] June 2, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 12-03 RE: SEC EXTENSION OF DE MINIMIS EXEMPTION TO TRADE-THROUGH RULES The SEC has granted an extension of the de minimis exemption from the provisions of the Intermarket Trading System Plan (“ITS Plan”) governing...

[16135] June 2, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 11-03 SEC RULES COMMITTEE No. 49-03 RE: NASDAQ RULEMAKING PETITION TO REPEAL NYSE RULE 500 The Nasdaq Stock Market has filed a petition for rulemaking with the Securities and Exchange Commission to repeal New York Stock...

[16106] May 22, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 10-03 RE: PETITION FOR RULEMAKING RELATING TO TRADING-THROUGH AND LOCKING OR CROSSING OTC QUOTES NexTrade Holdings has filed a rulemaking petition with the SEC1 relating to the practices of trading-through and locking or...

[16102] May 21, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 9-03 SEC RULES COMMITTEE No. 48-03 RE: SEC CONCEPT RELEASE REGARDING THE REGULATION OF NASDAQ-LISTED SECURITIES The Securities and Exchange Commission has issued a request for comment on a petition submitted by the Nasdaq...

[16101] May 21, 2003 TO: BOARD OF GOVERNORS No. 23-03 SEC RULES MEMBERS No. 61-03 EQUITY MARKETS ADVISORY COMMITTEE No. 8-03 RE: INSTITUTE LETTER TO SEC CHAIRMAN DONALDSON REGARDING DECIMALIZATION The Institute has sent a letter to SEC Chairman Donaldson (a copy of which is attached)...

[15935] April 23, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 7-03 RE: NYSE RESPONSE TO SEC CONDITIONAL APPROVAL OF LIQUIDITY QUOTE PROPOSAL As we previously informed you,1 the Securities and Exchange Commission issued an order conditionally approving a proposed rule change filed...

[15899] April 14, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 6-03 RE: REMINDER - NOTICE OF MEETING - MAY 6, 2003 As we previously informed you, a meeting of the Equity Markets Advisory Committee has been scheduled for Tuesday, May 6, 2003 at the offices of the Investment Company...

[15896] April 11, 2003 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 5-03 RE: SEC CONDITIONALLY APPROVES NYSE LIQUIDITY QUOTE PROPOSAL The Securities and Exchange Commission has issued an order conditionally approving a proposed rule change filed by the New York Stock Exchange (“NYSE”)...