Equity Markets Advisory Content

    [23285]   March 3, 2009 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 10-09 EQUITY MARKETS ADVISORY COMMITTEE No. 7-09 FIXED-INCOME ADVISORY COMMITTEE No. 5-09 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 6-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 6-09 MUNICIPAL SECURITIES...

    [23282]   March 2, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 6-09 INTERNATIONAL COMMITTEE No. 2-09 SEC RULES COMMITTEE No. 9-09     RE: IOSCO ISSUES CONSULTATION REPORT ON “DIRECT ELECTRONIC ACCESS” ARRANGEMENTS   The Technical Committee of the International Organization of...

    [23252]   February 13, 2009 TO: SEC RULES COMMITTEE No. 5-09 EQUITY MARKETS ADVISORY COMMITTEE No. 5-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 3-09 FIXED-INCOME ADVISORY COMMITTEE No. 3-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 4-09 INST. MONEY MARKET FUNDS ADVISORY...

    [23248]   February 12, 2009 TO: SEC RULES MEMBERS No. 15-09 EQUITY MARKETS ADVISORY COMMITTEE No. 4-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 2-09 FIXED-INCOME ADVISORY COMMITTEE No. 2-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 3-09 INST. MONEY MARKET FUNDS ADVISORY...

  [23237]   February 5, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 3-09     RE: SEC APPROVES NYSE PROPOSAL FOR BLOCK-ORDER FACILITY   A proposed rule change by the New York Stock Exchange (“NYSE”) to establish the New York Block Exchange (“NYBX”) – a new electronic trading...

    [23169]   January 8, 2009 TO: ACCOUNTING/TREASURERS MEMBERS No. 3-09 BOARD OF GOVERNORS No. 1-09 COMPLIANCE MEMBERS No. 3-09 END OF DAY PRICING FORUM No. 2-09 EQUITY MARKETS ADVISORY COMMITTEE No. 2-09 FIXED-INCOME ADVISORY COMMITTEE No. 1-09 INST. MONEY MARKET FUNDS ADVISORY...

    [23162]   January 7, 2009 TO: ACCOUNTING/TREASURERS MEMBERS No. 2-09 EQUITY MARKETS ADVISORY COMMITTEE No. 1-09 SEC RULES COMMITTEE No. 1-09     RE: SEC REPORT TO CONGRESS ON MARK-TO-MARKET ACCOUNTING   The Securities and Exchange Commission recently released a report to Congress...

    [23136]   December 19, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 49-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 23-08 EQUITY MARKETS ADVISORY COMMITTEE No. 67-08 SEC RULES MEMBERS No. 143-08     RE: ICI LETTER ON PROPOSED FINRA RULE ADDRESSING THE CIRCULATION OF RUMORS   As part...

[23128] December 18, 2008 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 66-08 SEC RULES MEMBERS No. 140-08 ACCOUNTING/TREASURERS MEMBERS No. 35-08 CLOSED-END INVESTMENT COMPANY MEMBERS No. 64-08 COMPLIANCE MEMBERS No. 64-08 ETF ADVISORY COMMITTEE No. 37-08 INVESTMENT ADVISER MEMBERS No...

    [23122]   December 12, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 47-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 22-08 EQUITY MARKETS ADVISORY COMMITTEE No. 65-08 SEC RULES COMMITTEE No. 88-08     RE: DRAFT ICI LETTER ON PROPOSED FINRA RULE ADDRESSING  THE CIRCULATION OF RUMORS  ...