Equity Markets Advisory Content

[18391] January 12, 2005 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 3-05 SEC RULES MEMBERS No. 6-05 RE: NYSE AND NASD PROPOSE RULE CHANGES RELATING TO IPOS The Securities and Exchange Commission has published for comment proposed rules filed by the New York Stock Exchange and the...

[18389] January 6, 2005 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 2-05 SEC RULES MEMBERS No. 3-05 RE: SEC PROPOSALS RELATING TO SELF-REGULATORY ORGANIZATIONS The Securities and Exchange Commission has proposed new rules and amendments to existing rules and forms under the Securities...

[18383] January 4, 2005 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 1-05 SEC RULES MEMBERS No. 1-05 RE: SEC REPROPOSES REGULATION NMS The Securities and Exchange Commission has reproposed Regulation NMS for further public comment.1 Regulation NMS consists of four interrelated proposals...

[18342] December 20, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 53-04 SEC RULES MEMBERS No. 177-04 RE: SEC PROPOSES AMENDMENTS TO REGULATION M The Securities and Exchange Commission has published for comment amendments to Regulation M under the Securities Exchange Act of 1934...

[18326] December 13, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 52-04 SEC RULES MEMBERS No. 172-04 RE: INSTITUTE LETTER ON NYSE PROPOSED RULE CHANGE RELATING TO AMENDMENTS TO "HYBRID" PROPOSAL The Institute has filed a comment letter with the Securities and Exchange Commission on...

[18322] December 10, 2004 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 33-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 46-04 COMPLIANCE ADVISORY COMMITTEE No. 118-04 EQUITY MARKETS ADVISORY COMMITTEE No. 51-04 INVESTMENT ADVISERS COMMITTEE No. 20-04 SEC RULES COMMITTEE No. 97-04 SMALL...

[18317] December 9, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 50-04 SEC RULES COMMITTEE No. 96-04 RE: DRAFT INSTITUTE LETTER ON NYSE PROPOSED RULE CHANGE RELATING TO AMENDMENTS TO “HYBRID” PROPOSAL As we previously informed you,1 the New York Stock Exchange has filed a proposed...

[18286] December 2, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 49-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 45-04 SEC RULES COMMITTEE No. 94-04 RE: SEC DELAYS REGULATION SHO PILOT PERIOD The SEC has issued an order delaying the pilot period for suspension of the operation of...

[18277] December 1, 2004 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 48-04 SEC RULES MEMBERS No. 169-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 77-04 RE: SEC TO CONSIDER PUBLICATION OF REVISIONS TO PROPOSED REGULATION NMS The SEC has announced that on December 15, 2004 it intends to...

[18248] November 24, 2004 TO: BOARD OF GOVERNORS No. 80-04 CHIEF COMPLIANCE OFFICER COMMITTEE No. 29-04 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 43-04 COMPLIANCE ADVISORY COMMITTEE No. 114-04 EQUITY MARKETS ADVISORY COMMITTEE No. 47-04 INDEPENDENT DIRECTORS COUNCIL No. 13-04...