ETF (Exchange-Traded Funds) Content

  [29799] March 29, 2016 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 11-16 EQUITY MARKETS ADVISORY COMMITTEE No. 11-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 8-16 ETF ADVISORY COMMITTEE No. 8-16 FIXED-INCOME ADVISORY COMMITTEE No. 12-16 INTERNATIONAL COMMITTEE No. 21-16...

[29791] March 28, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 4-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 9-16 BROKER/DEALER ASSOCIATE MEMBERS No. 3-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-16 CHIEF RISK OFFICER COMMITTEE No. 8-16 CLOSED-END INVESTMENT COMPANY MEMBERS No...

[29765] March 11, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 4-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-16 CHIEF RISK OFFICER COMMITTEE No. 5-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-16 COMPLIANCE ADVISORY COMMITTEE No. 2-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 6-16...

[29733] February 26, 2016 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 5-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 5-16 ETF ADVISORY COMMITTEE No. 5-16 FIXED-INCOME ADVISORY COMMITTEE No. 5-16 SEC RULES COMMITTEE No. 7-16 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ICI COMMENT LETTER...

[29691] February 3, 2016 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 4-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 4-16 ETF ADVISORY COMMITTEE No. 4-16 FIXED-INCOME ADVISORY COMMITTEE No. 4-16 SEC RULES COMMITTEE No. 5-16 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: DRAFT ICI COMMENT...

[29652] January 20, 2016 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 2-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 3-16 ETF ADVISORY COMMITTEE No. 3-16 SEC RULES MEMBERS No. 5-16 RE: ICI SUBMITS COMMENT LETTER TO SEC EQUITY MARKET STRUCTURE ADVISORY COMMITTEE ON ACCESS FEES AND...

As previously reported, the Securities and Exchange Commission (“SEC”) issued its proposed liquidity risk management rules for mutual funds and open-end ETFs (“funds”) in late September. SEC Chair White first discussed this liquidity initiative as part of a broader package of reforms...

[29607] January 5, 2016 TO: ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 1-16 ETF ADVISORY COMMITTEE No. 1-16 EQUITY MARKETS ADVISORY COMMITTEE No. 1-16 RE: SEC STAFF RELEASES RESEARCH CONCERNING MARKET VOLATILITY OF AUGUST 24, 2015   The staff of the Securities and Exchange Commission (...

[29586] December 22, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 32-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 41-15 BROKER/DEALER ADVISORY COMMITTEE No. 56-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-15 COMPLIANCE ADVISORY COMMITTEE No. 11-15 DERIVATIVES MARKETS ADVISORY...

[29567] December 18, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 30-15 CHIEF RISK OFFICER COMMITTEE No. 25-15 COMPLIANCE ADVISORY COMMITTEE No. 10-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 33-15 ETF ADVISORY COMMITTEE No. 32-15 END OF DAY PRICING FORUM No. 11-15 FIXED-INCOME...