Equity Markets Advisory Content

    [23891]   October 21, 2009 TO: ETF ADVISORY COMMITTEE No. 36-09 EQUITY MARKETS ADVISORY COMMITTEE No. 46-09 INVESTMENT ADVISER MEMBERS No. 19-09 SEC RULES MEMBERS No. 112-09     RE: SEC AND CFTC ISSUE JOINT REPORT ON HARMONIZATION OF REGULATION   On October 16th, the Securities...

    [23876]   October 15, 2009 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 45-09 ETF ADVISORY COMMITTEE No. 34-09 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 9-09 EQUITY MARKETS ADVISORY COMMITTEE No. 43-09 SEC RULES MEMBERS No. 109-09     RE: SEC PROPOSAL TO ELIMINATE "FLASH ORDER"...

    [23880]   October 15, 2009 TO: ETF ADVISORY COMMITTEE No. 35-09 EQUITY MARKETS ADVISORY COMMITTEE No. 45-09 SEC RULES MEMBERS No. 111-09     RE: FINRA PUBLISHES DAILY AND MONTHLY SHORT SALE DATA   The Securities and Exchange Commission has approved a rule change proposed by the...

    [23877]   October 15, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-09 EQUITY MARKETS ADVISORY COMMITTEE No. 44-09 FIXED-INCOME ADVISORY COMMITTEE No. 22-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 42-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 48-09 SEC RULES...

    [23873]   October 14, 2009 TO: ACCOUNTING/TREASURERS MEMBERS No. 44-09 COMPLIANCE MEMBERS No. 45-09 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 8-09 ETF ADVISORY COMMITTEE No. 33-09 EQUITY MARKETS ADVISORY COMMITTEE No. 42-09 FIXED-INCOME ADVISORY COMMITTEE No. 21-09 INVESTMENT...

    [23869]   October 12, 2009 TO: COMPLIANCE MEMBERS No. 44-09 EQUITY MARKETS ADVISORY COMMITTEE No. 41-09 FIXED-INCOME ADVISORY COMMITTEE No. 20-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 40-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 46-09 SEC RULES MEMBERS No. 107-09     RE...

    [23858]   October 8, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 40-09 ETF ADVISORY COMMITTEE No. 31-09     RE: SEC APPROVES EXCHANGE RULES FOR ERRONEOUS TRADES   The Securities and Exchange Commission has approved a series of “model” rules for breaking “clearly erroneous”...

    [23801]   September 17, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19-09 ETF ADVISORY COMMITTEE No. 28-09 EQUITY MARKETS ADVISORY COMMITTEE No. 39-09 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 7-09 SEC RULES COMMITTEE No. 54-09     RE: DRAFT ICI COMMENT LETTER ON SEC...

    [23798]   September 17, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 38-09 SEC RULES COMMITTEE No. 53-09     RE: REMINDER - SEPTEMBER 23 EQUITY MARKETS ADVISORY COMMITTEE MEETING; FINAL AGENDA   In conjunction with the Institute’s Capital Markets Conference on September 24, 2009...

    [23779]   September 10, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 37-09 SEC RULES COMMITTEE No. 51-09     RE: REMINDER - SEPTEMBER 23 EQUITY MARKETS ADVISORY COMMITTEE MEETING; FINAL AGENDA   In conjunction with the Institute’s Capital Markets Conference on September 24, 2009...