Equity Markets Advisory Content

[28294] August 4, 2014 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 49-14 EQUITY MARKETS ADVISORY COMMITTEE No. 13-14 FIXED-INCOME ADVISORY COMMITTEE No. 12-14 ICI GLOBAL MEMBERS No. 28-14 ICI GLOBAL STEERING COMMITTEE No. 11-14 INTERNATIONAL MEMBERS No. 27-14 INTERNATIONAL...

[28250] July 9, 2014 TO: ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 15-14 ETF ADVISORY COMMITTEE No. 13-14 EQUITY MARKETS ADVISORY COMMITTEE No. 12-14 SEC RULES MEMBERS No. 30-14 RE: SEC ANNOUNCES TICK SIZE PILOT PROGRAM   On June 25, the Securities and Exchange Commission (the...

[28236] July 2, 2014 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 11-14 FIXED-INCOME ADVISORY COMMITTEE No. 9-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 10-14 SEC RULES COMMITTEE No. 29-14 SMALL FUNDS COMMITTEE No. 18-14 SEC RULES MEMBERS No. 26-14 SMALL FUNDS MEMBERS No. 15-14 RE...

[28235] July 2, 2014 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 10-14 RE: NEW YORK ATTORNEY GENERAL FILES CIVIL COMPLAINT AGAINST DARK POOL OPERATOR ALLEGING FRAUD AND DECEIT   On June 25, 2014, New York’s Attorney General filed a civil complaint against the operator of a private...

[28183] June 12, 2014 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 9-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 12-14 CLOSED-END INVESTMENT COMPANY MEMBERS No. 20-14 SEC RULES MEMBERS No. 20-14 RE: SEC CHAIR WHITE SPEECH ON MARKET STRUCTURE ISSUES   On June 5, SEC Chair White gave a...

[28126] May 15, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 21-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 36-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 10-14 ETF ADVISORY COMMITTEE No. 9-14 EQUITY MARKETS ADVISORY COMMITTEE No. 8-14 MONEY MARKET FUNDS ADVISORY COMMITTEE...

[28121] May 15, 2014 TO: SEC RULES COMMITTEE No. 19-14 EQUITY MARKETS ADVISORY COMMITTEE No. 7-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 8-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-14 INTERNATIONAL COMMITTEE No. 15-14 ICI GLOBAL STEERING COMMITTEE No. 8-14 ICI GLOBAL...

[27975] March 24, 2014 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 6-14 ICI GLOBAL MEMBERS No. 9-14 INTERNATIONAL MEMBERS No. 8-14 RE: SINGAPORE CONSULTATION ON STRENGTHENING THE SECURITIES MARKET   The Monetary Authority of Singapore (MAS) and the Singapore Exchange (SGX) have issued a...

[27970] March 24, 2014 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 5-14 INTERNATIONAL MEMBERS No. 7-14 ICI GLOBAL MEMBERS No. 8-14 RE: HONG KONG SFC ISSUES CONSULTATION ON THE REGULATION OF “ALTERNATIVE LIQUIDITY POOLS”   The Hong Kong Securities and Futures Commission (SFC) has issued...

[27918] February 26, 2014 TO: SEC RULES COMMITTEE No. 7-14 EQUITY MARKETS ADVISORY COMMITTEE No. 4-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 4-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-14 INTERNATIONAL COMMITTEE No. 4-14 ICI GLOBAL STEERING COMMITTEE No. 3-14 ICI GLOBAL...