Equity Markets Advisory Content

[14320] January 8, 2002 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 3-02 RE: NOTICE OF MEETING - APRIL 9, 2002 A meeting of the Equity Markets Advisory Committee has been scheduled for Tuesday, April 9, 2002 at the offices of the Investment Company Institute, 1401 H Street, N.W...

[14304] January 7, 2002 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 2-02 RE: NASD PROPOSED RULE CHANGE RELATING TO SEPARATION FROM NASDAQ AND THE NASD ALTERNATIVE DISPLAY FACILITY The Securities and Exchange Commission has published for comment a proposed rule change filed by the NASD1...

[14291] January 4, 2002 TO: SEC RULES MEMBERS No. 1-02 COMPLIANCE ADVISORY COMMITTEE No. 1-02 EQUITY MARKETS ADVISORY COMMITTEE No. 1-02 INVESTMENT ADVISER MEMBERS No. 1-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 1-02 RE: SEC ISSUES INTERPRETATIVE GUIDANCE ON RISKLESS PRINCIPAL...

[14253] December 17, 2001 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 51-01 RE: SEC APPROVES PROPOSED RULE CHANGE RELATING TO FEES FOR NYSE OPENBOOK SERVICE The Securities and Exchange Commission has issued an order (a copy of which is attached) approving a proposed rule change filed by...

[14186] November 29, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 61-01 EQUITY MARKETS ADVISORY COMMITTEE No. 50-01 INVESTMENT ADVISERS COMMITTEE No. 27-01 SEC RULES COMMITTEE No. 96-01 RE: CONFERENCE CALL REGARDING PROPOSED AIMR TRADE MANAGEMENT GUIDELINES SCHEDULED FOR DECEMBER 17 As...

[14185] November 27, 2001 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 49-01 RE: INSTITUTE LETTER TO SEC ON PROPOSED AMENDMENTS TO NYSE RULE 72 RELATING TO CLEAN CROSSES The Institute has filed a comment letter (a copy of which is attached) with the Securities and Exchange Commission on...

[14171] November 21, 2001 TO: SEC RULES COMMITTEE No. 93-01 EQUITY MARKETS ADVISORY COMMITTEE No. 48-01 RE: INSTITUTE COMMENT LETTER ON SEC SUBPENNY CONCEPT RELEASE The Institute has filed a comment letter (a copy of which is attached) with the Securities and Exchange Commission on...

[14166] November 20, 2001 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 47-01 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED AMENDMENTS TO NYSE CLEAN CROSS RULE As we previously informed you,1 the Securities and Exchange Commission issued a notice of a proposed rule change filed by the...

[14161] November 19, 2001 TO: SEC RULES COMMITTEE No. 91-01 INVESTMENT ADVISERS COMMITTEE No. 26-01 COMPLIANCE ADVISORY COMMITTEE No. 57-01 EQUITY MARKETS ADVISORY COMMITTEE No. 46-01 RE: PROPOSED AIMR TRADE MANAGEMENT GUIDELINES The Association for Investment Management and Research...

[14147] November 15, 2001 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 45-01 RE: SEC APPROVES NYSE PROPOSED RULE CHANGE REDUCING XPRESS QUOTE AND ORDER PARAMETERS As we previously informed you,1 the NYSE filed a proposed rule change to reduce the required number of shares for XPress...