Equity Markets Advisory Content

[27590] September 24, 2013 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 20-13 SEC RULES COMMITTEE No. 39-13 RE: REMINDER AND DRAFT AGENDA - NEXT EQUITY MARKETS ADVISORY COMMITTEE MEETING OCTOBER 9, 2013   As a reminder, in conjunction with ICI’s Capital Markets Conference to be held on...

[27581] September 20, 2013 TO: COMPLIANCE MEMBERS No. 41-13 EQUITY MARKETS ADVISORY COMMITTEE No. 19-13 CLOSED-END INVESTMENT COMPANY MEMBERS No. 82-13 RE: OCIE ISSUES RISK ALERT REMINDING REGISTRANTS OF THE NEED TO COMPLY WITH THE SHORT SELLING PROHIBITIONS IN REGULATION M   Earlier...

[27559] September 12, 2013 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 77-13 END OF DAY PRICING FORUM No. 12-13 EQUITY MARKETS ADVISORY COMMITTEE No. 18-13 FIXED-INCOME ADVISORY COMMITTEE No. 22-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 23-13 RE: SEC PERMITS TRACE DISSEMINATION...

[27527] August 29, 2013 TO: COMPLIANCE MEMBERS No. 38-13 INVESTMENT ADVISER MEMBERS No. 61-13 SMALL FUNDS MEMBERS No. 50-13 TECHNOLOGY COMMITTEE No. 9-13 CCO ADVISORY ISSUES SUBCOMMITTEE EQUITY MARKETS ADVISORY COMMITTEE No. 17-13 RE: SEC PUBLISHES RISK ALERT ON INVESTMENT ADVISERS'...

[27466] August 15, 2013 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 68-13 EQUITY MARKETS ADVISORY COMMITTEE No. 16-13 FIXED-INCOME ADVISORY COMMITTEE No. 20-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 20-13 END OF DAY PRICING FORUM No. 9-13 RE: ICI COMMENT LETTER ON TRACE...

[27441] August 7, 2013 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 15-13 SEC RULES COMMITTEE No. 31-13 RE: SAVE THE DATE - NEXT EQUITY MARKETS ADVISORY COMMITTEE MEETING OCTOBER 9, 2013   In conjunction with ICI’s Capital Markets Conference to be held on October 10, 2013 in New York...

[27408] July 25, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-13 EQUITY MARKETS ADVISORY COMMITTEE No. 14-13 FIXED-INCOME ADVISORY COMMITTEE No. 18-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 18-13 END OF DAY PRICING FORUM No. 7-13 RE: ICI DRAFT COMMENT LETTER ON TRACE...

[27381] July 17, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 17-13 END OF DAY PRICING FORUM No. 6-13 EQUITY MARKETS ADVISORY COMMITTEE No. 13-13 FIXED-INCOME ADVISORY COMMITTEE No. 15-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 16-13 RE: PROPOSED RULE AMENDMENTS TO PERMIT...

[27233] May 9, 2013 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 40-13 EQUITY MARKETS ADVISORY COMMITTEE No. 12-13 ETF ADVISORY COMMITTEE No. 23-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 12-13 RISK MANAGEMENT ADVISORY COMMITTEE No. 2-13 SEC RULES MEMBERS No. 44-13 SMALL FUNDS...

[27217] May 2, 2013 TO: SEC RULES MEMBERS No. 41-13 COMPLIANCE MEMBERS No. 23-13 EQUITY MARKETS ADVISORY COMMITTEE No. 11-13 CLOSED-END INVESTMENT COMPANY MEMBERS No. 37-13 SMALL FUNDS MEMBERS No. 31-13 INVESTMENT ADVISER MEMBERS No. 28-13 RE: ICI LETTER ON PETITION FOR RULEMAKING TO...