Equity Markets Advisory Content

    [24009]   December 10, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 31-09 EQUITY MARKETS ADVISORY COMMITTEE No. 56-09 FIXED-INCOME ADVISORY COMMITTEE No. 31-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 52-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 60-09 SEC RULES...

    [24005]   December 8, 2009 TO: COMPLIANCE ADVISORY COMMITTEE No. 7-09 EQUITY MARKETS ADVISORY COMMITTEE No. 55-09 FIXED-INCOME ADVISORY COMMITTEE No. 30-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 51-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 59-09 SEC RULES MEMBERS No. 134...

    [23992]   December 2, 2009 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 58-09 EQUITY MARKETS ADVISORY COMMITTEE No. 54-09 FIXED-INCOME ADVISORY COMMITTEE No. 29-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 49-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 58-09 SEC RULES MEMBERS...

    [23986]   November 30, 2009 TO: SEC RULES MEMBERS No. 129-09 EQUITY MARKETS ADVISORY COMMITTEE No. 53-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 57-09 FIXED-INCOME ADVISORY COMMITTEE No. 28-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 48-09 CLOSED-END INVESTMENT COMPANY...

    [23973]   November 23, 2009 TO: SEC RULES MEMBERS No. 125-09 EQUITY MARKETS ADVISORY COMMITTEE No. 52-09 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 12-09 ETF ADVISORY COMMITTEE No. 40-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 55-09     RE: ICI COMMENT LETTER ON SEC FLASH ORDER...

    [23967]   November 20, 2009 TO: SEC RULES COMMITTEE No. 67-09 EQUITY MARKETS ADVISORY COMMITTEE No. 51-09 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 11-09 ETF ADVISORY COMMITTEE No. 39-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-09     RE: DRAFT ICI COMMENT LETTER ON SEC...

    [23951]   November 13, 2009 TO: COMPLIANCE ADVISORY COMMITTEE No. 5-09 EQUITY MARKETS ADVISORY COMMITTEE No. 50-09 FIXED-INCOME ADVISORY COMMITTEE No. 26-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 47-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 54-09 SEC RULES COMMITTEE No. 66...

    [23939]   November 9, 2009 TO: COMPLIANCE MEMBERS No. 48-09 SEC RULES MEMBERS No. 121-09 SMALL FUNDS MEMBERS No. 66-09 INVESTMENT ADVISER MEMBERS No. 21-09 EQUITY MARKETS ADVISORY COMMITTEE No. 49-09     RE: SEC SANCTIONS FUND ADVISER, ITS CEO AND CCO, AND RELATED BROKER-DEALER...

    [23925]   November 4, 2009 TO: SEC RULES MEMBERS No. 119-09 EQUITY MARKETS ADVISORY COMMITTEE No. 48-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 49-09 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 10-09 ETF ADVISORY COMMITTEE No. 38-09 SMALL FUNDS MEMBERS No. 64-09     RE: ICI...

    [23898]   October 26, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 47-09 ETF ADVISORY COMMITTEE No. 37-09     RE: FINRA PROPOSES TO MODIFY RULES FOR CLEARLY ERRONEOUS TRADES   The Financial Industry Regulatory Authority (“FINRA”) has proposed to amend its rules governing clearly...