Equity Markets Advisory Content

The members of Investment Company Institute’s Board of Governors recently agreed to support the Depository Trust & Clearing Corporation (DTCC) industry initiative to shorten the U.S. settlement cycle for equities, municipal and corporate bonds, and unit investment trusts from trade...

[27897] February 18, 2014 TO: SEC RULES COMMITTEE No. 5-14 EQUITY MARKETS ADVISORY COMMITTEE No. 2-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 3-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-14 INTERNATIONAL COMMITTEE No. 3-14 RE: DRAFT COMMENT LETTER ON FCA DEALING COMMISSION...

[27873] January 30, 2014 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 8-14 EQUITY MARKETS ADVISORY COMMITTEE No. 1-14 SEC RULES MEMBERS No. 5-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 2-14 ETF ADVISORY COMMITTEE No. 1-14 RE: CFTC REOPENS COMMENT PERIOD FOR CONCEPT RELEASE ON RISK...

[27815] December 30, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 34-13 BOARD OF GOVERNORS No. 17-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 90-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 40-13 ETF ADVISORY COMMITTEE No. 39-13...

[27804] December 20, 2013 TO: ACCOUNTING/TREASURERS MEMBERS No. 31-13 BOARD OF GOVERNORS No. 16-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 88-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 39-13 ETF ADVISORY COMMITTEE No. 38-13 EQUITY...

[27775] December 16, 2013 TO: SEC RULES COMMITTEE No. 50-13 EQUITY MARKETS ADVISORY COMMITTEE No. 25-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 38-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-13 INTERNATIONAL COMMITTEE No. 30-13 RE: MEMBER CALL ON UK FCA CONSULTATION ON THE USE...

[27769] December 13, 2013 TO: BOARD OF GOVERNORS No. 15-13 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 87-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 37-13 ETF ADVISORY COMMITTEE No. 37-13...

[27702] November 14, 2013 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 23-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 35-13 SEC RULES MEMBERS No. 103-13 RE: ICI LETTER ON FINRA PROPOSAL TO INCREASE ATS TRANSPARENCY   FINRA recently filed a proposal with the SEC to require each...

[27624] October 3, 2013 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 22-13 SEC RULES COMMITTEE No. 40-13 RE: REMINDER AND FINAL AGENDA - EQUITY MARKETS ADVISORY COMMITTEE MEETING OCTOBER 9, 2013   Please find attached the final agenda for the meeting of the Equity Markets Advisory...

[27600] September 30, 2013 TO: ICI GLOBAL TRADING & MARKET STRUCTURE COMMITTEE No. 2-13 EQUITY MARKETS ADVISORY COMMITTEE No. 21-13 RE: ASIC RELEASES NEW RULES ON DARK LIQUIDITY AND HIGH FREQUENCY TRADING   On August 12, 2013, the Australian Securities & Investments Commission (“ASIC”...