ETF Advisory Content

[25992] March 22, 2012 TO: ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 4-12 ETF ADVISORY COMMITTEE No. 5-12 INTERNATIONAL COMMITTEE No. 8-12 RE: DRAFT COMMENT LETTER ON ESMA’S PROPOSED GUIDELINES FOR UCITS ETFS AND OTHER UCITS ISSUES   On January 30, the European Securities and Markets...

  [25909] February 14, 2012 TO: BOARD OF GOVERNORS No. 1-12 CLOSED-END INVESTMENT COMPANY MEMBERS No. 10-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 9-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 3-12 ETF ADVISORY COMMITTEE No. 4-12 EQUITY MARKETS ADVISORY COMMITTEE No. 4-12 FIXED...

  [25888] February 10, 2012 TO: SEC RULES COMMITTEE No. 12-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 7-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-12 ETF ADVISORY COMMITTEE No. 3-12 CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-12 SMALL FUNDS COMMITTEE No. 4-12 RE: CFTC ADOPTS...

URGENT/ACTION REQUESTED [25870] February 6, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 6-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 2-12 ETF ADVISORY COMMITTEE No. 2-12 EQUITY MARKETS ADVISORY COMMITTEE No. 3-12 FIXED-INCOME...

[25831] January 25, 2012 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 4-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 4-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 1-12 ETF ADVISORY COMMITTEE No. 1-12 EQUITY MARKETS ADVISORY COMMITTEE No. 2-12 FIXED-INCOME ADVISORY COMMITTEE No. 4...

[25749] December 27, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 56-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 52-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 51-11 ETF ADVISORY COMMITTEE No. 71-11 EQUITY MARKETS ADVISORY COMMITTEE No. 68-11 FIXED-INCOME ADVISORY COMMITTEE...

URGENT/ACTION REQUESTED [25741] December 23, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 55-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 51-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 50-11 ETF ADVISORY COMMITTEE No. 70-11 EQUITY MARKETS ADVISORY COMMITTEE No. 67-11 FIXED...

[25634] November 10, 2011 TO: SEC RULES MEMBERS No. 133-11 CLOSED-END INVESTMENT COMPANY MEMBERS No. 79-11 EQUITY MARKETS ADVISORY COMMITTEE No. 62-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 61-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 56-11 FIXED-INCOME ADVISORY COMMITTEE No...

  [25625] November 7, 2011 TO: ACCOUNTING/TREASURERS MEMBERS No. 28-11 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-11 CLOSED-END INVESTMENT COMPANY MEMBERS No. 77-11 COMPLIANCE MEMBERS No. 43-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 46-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No...

  [25606] November 2, 2011 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 13-11 ETF ADVISORY COMMITTEE No. 67-11 SEC RULES MEMBERS No. 127-11 RE: FINRA GUIDANCE ON ADVERTISING ISSUES   The Financial Industry Regulatory Authority (“FINRA”) recently provided guidance on certain...