Equity Markets Advisory Content

[26595] October 19, 2012 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 28-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 36-12 ETF ADVISORY COMMITTEE No. 38-12 SEC RULES COMMITTEE No. 63-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-12 RE: DRAFT ICI LETTER ON SEC TECHNOLOGY AND TRADING...

[26586] October 15, 2012 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 27-12 RE: REMINDER - NOVEMBER 1 EQUITY MARKETS ADVISORY COMMITTEE MEETING; DRAFT AGENDA ATTACHED   In conjunction with ICI’s Capital Markets Conference to be held on November 2, 2012 in New York, the next meeting of...

[26541] October 1, 2012 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 26-12 RE: SEC STAFF PUBLISHES REPORT ON BROKER-DEALERS' INSIDER TRADING PRACTICES   The staff of the Securities and Exchange Commission has published a report discussing its findings from a series of examinations...

[26538] September 28, 2012 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 25-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 33-12 ETF ADVISORY COMMITTEE No. 34-12 INTERNATIONAL MEMBERS No. 40-12 SEC RULES MEMBERS No. 85-12 RE: ICI LETTER TO HONG KONG SFC ON ELECTRONIC TRADING CONSULTATION...

[26537] September 28, 2012 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 24-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 32-12 ETF ADVISORY COMMITTEE No. 33-12 SEC RULES MEMBERS No. 84-12 CLOSED-END INVESTMENT COMPANY MEMBERS No. 60-12 RE: SEC OCTOBER 2 MARKET TECHNOLOGY ROUNDTABLE...

[26527] September 27, 2012 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 23-12 RE: REMINDER - NOVEMBER 1 EQUITY MARKETS ADVISORY COMMITTEE MEETING; DRAFT AGENDA   In conjunction with ICI’s Capital Markets Conference to be held on November 2, 2012 in New York, the next meeting of the...

[26515] September 24, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-12 END OF DAY PRICING FORUM No. 8-12 EQUITY MARKETS ADVISORY COMMITTEE No. 22-12 FIXED-INCOME ADVISORY COMMITTEE No. 20-12 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 40-12 RE: FINRA NOTICE ON TRACE...

[26510] September 18, 2012 TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-12 EQUITY MARKETS ADVISORY COMMITTEE No. 21-12 RE: INSTITUTE FORMS SECURITIES OPERATIONS ADVISORY GROUP; INVITES MEMBER PARTICIPATION - SECOND INVITATION   We recently solicited members regarding the formation of a...

[26487] September 5, 2012 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 20-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 30-12 ETF ADVISORY COMMITTEE No. 31-12 SEC RULES MEMBERS No. 80-12 CLOSED-END INVESTMENT COMPANY MEMBERS No. 57-12 RE: SEC ANNOUNCES TECHNOLOGY AND TRADING ROUNDTABLE  ...