Equity Markets Advisory Content

    [22379]   March 28, 2008 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 14-08 ETF ADVISORY COMMITTEE No. 5-08 SEC RULES MEMBERS No. 29-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-08     RE: SEC PROPOSES ANTI-FRAUD SHORT SALE RULE   The Securities and Exchange Commission has...

    [22376]   March 26, 2008 TO: SEC RULES MEMBERS No. 28-08 EQUITY MARKETS ADVISORY COMMITTEE No. 13-08     RE: SEC ANNOUNCES STEPS FOR MUTUAL RECOGNITION PLAN   On March 24, the Securities and Exchange Commission announced a series of steps it intends to take to further...

    [22312]   March 10, 2008 TO: ETF ADVISORY COMMITTEE No. 3-08 EQUITY MARKETS ADVISORY COMMITTEE No. 12-08     RE: NYSE ARCA PROPOSAL TO LIST AND TRADE ACTIVELY MANAGED ETFS   NYSE Arca has filed a proposed rule change with the Securities and Exchange Commission relating to the...

    [22307]   March 10, 2008 TO: COMPLIANCE MEMBERS No. 8-08 EQUITY MARKETS ADVISORY COMMITTEE No. 11-08 SEC RULES MEMBERS No. 22-08 SMALL FUNDS MEMBERS No. 13-08     RE: FUND ADVISERS, EXECUTIVES, AND EMPLOYEES SETTLE SEC CHARGES RELATING TO BROKER GIFTS   The Securities and Exchange...

    [22279]   February 28, 2008 TO: ACCOUNTING/TREASURERS MEMBERS No. 5-08 CLOSED-END INVESTMENT COMPANY MEMBERS No. 5-08 COMPLIANCE MEMBERS No. 6-08 ETF ADVISORY COMMITTEE No. 2-08 ETF COMMITTEE No. 1-08 EQUITY MARKETS ADVISORY COMMITTEE No. 10-08 FIXED-INCOME ADVISORY COMMITTEE No...

[22254] February 20, 2008 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 9-08 RE: BATS EXCHANGE APPLIES FOR REGISTRATION WITH SEC The Securities and Exchange Commission has published an application filed by BATS Exchange to become registered as a national securities exchange.* BATS...

[22253] February 20, 2008 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 8-08 RE: NYSE AMENDS SPECIALIST REQUIREMENT TO YIELD PROPRIETARY TRADES TO LATER-ARRIVING SYSTEMS ORDERS The Securities and Exchange Commission has approved a proposed rule change, as amended, filed by the NYSE to...

    [22240]   February 15, 2008 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 7-08 SEC RULES MEMBERS No. 16-08     RE: SEC APPROVES FINRA PROPOSALS RELATING TO RESEARCH ANALYSTS CONFLICTS OF INTEREST                 The Securities and Exchange Commission has approved two proposals filed...

    [22234]   February 13, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-08 COMPLIANCE MEMBERS No. 4-08 EQUITY MARKETS ADVISORY COMMITTEE No. 6-08 INTERNATIONAL COMMITTEE No. 7-08 INVESTMENT ADVISER MEMBERS No. 4-08 PENSION MEMBERS No. 7-08 SEC RULES MEMBERS No. 14-08     RE: SEC...

    [22186]   February 5, 2008 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 5-08 SEC RULES MEMBERS No. 11-08     RE: NYSE PROPOSES TO RESCIND RULE LIMITING MEMBER TRADING BECAUSE OF BLOCK POSITIONING   The Securities and Exchange Commission has published for comment a proposed rule...