Equity Markets Advisory Content

[15113] September 6, 2002 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 23-02 RE: REMINDER - NOTICE OF MEETING - SEPTEMBER 24, 2002 As we previously informed you, in conjunction with the Institute’s Equity Markets Conference, a meeting of the Equity Markets Advisory Committee has been...

[15099] September 4, 2002 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 21-02 SEC RULES COMMITTEE No. 70-02 RE: SEC APPROVES IMPLEMENTATION OF NASDAQ SUPERMONTAGE The SEC has issued an order1 approving the implementation and operation of Nasdaq’s SuperMontage. In particular, when the SEC...

[15102] September 4, 2002 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 22-02 RE: SEC GRANTS DE MINIMIS EXEMPTION FROM THE ITS PLAN’S TRADE-THROUGH PROVISIONS The SEC has issued an order1 granting, on a temporary basis, a de minimis exemption for transactions in certain ETFs from the ITS...

[15094] September 3, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 34-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 42-02 COMPLIANCE ADVISORY COMMITTEE No. 71-02 EQUITY MARKETS ADVISORY COMMITTEE No. 20-02 INVESTMENT ADVISER MEMBERS No. 36-02 OPERATIONS MEMBERS No. 27-02 PRIMARY CONTACTS...

[15018] August 9, 2002 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 19-02 RE: REMINDER - NOTICE OF MEETING - SEPTEMBER 24, 2002 In conjunction with the Institute’s Equity Markets Conference, a meeting of the Equity Markets Advisory Committee has been scheduled for Tuesday, September 24...

[15012] August 8, 2002 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 18-02 RE: SEC APPROVES NASD PROPOSED RULE CHANGE RELATING TO THE OPERATION OF THE ALTERNATIVE DISPLAY FACILITY The Securities and Exchange Commission has published for comment, and at the same time granted accelerated...

[14964] July 26, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 20-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 28-02 COMPLIANCE ADVISORY COMMITTEE No. 54-02 EQUITY MARKETS ADVISORY COMMITTEE No. 17-02 INVESTMENT ADVISER MEMBERS No. 30-02 OPERATIONS MEMBERS No. 20-02 PRIMARY CONTACTS -...

[14956] July 24, 2002 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 16-02 RE: SEC APPROVES NYSE PROPOSED RULE CHANGE RELATING TO CLEAN CROSSES The SEC has approved a proposed rule change filed by the NYSE1 amending NYSE Rule 72 to provide that a specialist may not effect a proprietary...

[14908] July 11, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 17-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 24-02 COMPLIANCE ADVISORY COMMITTEE No. 49-02 EQUITY MARKETS ADVISORY COMMITTEE No. 15-02 INTERNATIONAL MEMBERS No. 18-02 INVESTMENT ADVISER MEMBERS No. 27-02 OPERATIONS MEMBERS...

[14871] July 3, 2002 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 14-02 RE: SEC ABROGATES RULE FILINGS ON MARKET DATA REBATE PROGRAMS The Securities and Exchange Commission has abrogated proposals by several markets to extend rebates of market data revenues to market participants.1 In...