Equity Markets Advisory Content

    [21164]   May 21, 2007 TO: COMPLIANCE MEMBERS No. 17-07 EQUITY MARKETS ADVISORY COMMITTEE No. 29-07 SEC RULES MEMBERS No. 51-07 SMALL FUNDS COMMITTEE No. 17-07     RE: BROKER-DEALER SETTLES SEC CHARGES RELATING TO BEST EXECUTION   The Securities and Exchange Commission has settled...

    [21124]   May 9, 2007 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 27-07 FIXED-INCOME ADVISORY COMMITTEE No. 10-07 SEC RULES COMMITTEE No. 43-07     RE: CONFERENCE CALL SCHEDULED TO DISCUSS NASDAQ PROPOSAL TO ESTABLISH TRADING SYSTEM FOR “PORTAL SECURITIES”   As we previously...

    [21136]   May 9, 2007 TO: SEC RULES COMMITTEE No. 44-07 FIXED-INCOME ADVISORY COMMITTEE No. 11-07 EQUITY MARKETS ADVISORY COMMITTEE No. 28-07 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 8-07 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 10-07 ETF ADVISORY COMMITTEE No. 19-07    ...

    [21109]   May 8, 2007 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 26-07 SEC RULES MEMBERS No. 47-07 FIXED-INCOME ADVISORY COMMITTEE No. 9-07     RE: NASDAQ PROPOSED RULE CHANGE TO ESTABLISH QUOTATION AND TRADING SYSTEM FOR “PORTAL SECURITIES”   The NASDAQ Stock Market (Nasdaq) has...

    [21119]   May 7, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-07 INVESTMENT ADVISERS COMMITTEE No. 10-07 SEC RULES COMMITTEE No. 39-07 SMALL FUNDS COMMITTEE No. 14-07 EQUITY MARKETS ADVISORY COMMITTEE No. 25-07 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 7-07 INST. MONEY...

    [21096]   April 30, 2007 TO: SEC RULES COMMITTEE No. 38-07 FIXED-INCOME ADVISORY COMMITTEE No. 7-07 EQUITY MARKETS ADVISORY COMMITTEE No. 24-07 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 6-07 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 7-07 ETF ADVISORY COMMITTEE No. 17-07    ...

    [21068]   April 18, 2007 TO: INTERNATIONAL MEMBERS No. 9-07 EQUITY MARKETS ADVISORY COMMITTEE No. 23-07     RE: CESR ISSUES SECOND CONSULTATION PAPER ON INDUCEMENTS UNDER MIFID   On April 13, 2007, the Committee of European Securities Regulators (CESR) issued a second consultation...

    [21051]   April 16, 2007 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 25-07 EQUITY MARKETS ADVISORY COMMITTEE No. 20-07 SEC RULES MEMBERS No. 45-07 UNIT INVESTMENT TRUST MEMBERS No. 9-07     RE: PROPOSALS RELATING TO SECURITIES “TICKER” SYMBOLS   The Securities and Exchange...

    [21055]   April 16, 2007 TO: PENSION MEMBERS No. 22-07 INVESTMENT ADVISER MEMBERS No. 12-07 SEC RULES MEMBERS No. 46-07 EQUITY MARKETS ADVISORY COMMITTEE No. 21-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-07     RE: INSTITUTE COMMENT LETTER CONCERNING DOL INTERIM FINAL REGULATION...

    [21061]   April 16, 2007 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 22-07     RE: NASD SANCTIONS FORMER MEMBER FIRM EXECUTIVES FOR SUPERVISORY FAILURES RELATING TO FRAUDULENT SALES TO INSTITUTIONAL CUSTOMERS   NASD announced that is has sanctioned two former executives of a member...