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ICI Default BG
Memo#
25388

ICI Letter on Protection of Cleared Swaps Customer Contracts and Collateral

[25388] August 8, 2011 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 65-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 31-11 ETF ADVISORY COMMITTEE No. 55-11 EQUITY MARKETS ADVISORY COMMITTEE No. 50-11 FIXED-INCOME ADVISORY COMMITTEE No. 60-11 SEC RULES MEMBERS No. 98-11 SMALL FUNDS...
ICI Default BG
Memo#
25358

GAO Report on Proprietary Trading

[25358] July 27, 2011 TO: SEC RULES MEMBERS No. 93-11 EQUITY MARKETS ADVISORY COMMITTEE No. 47-11 CLOSED-END INVESTMENT COMPANY MEMBERS No. 60-11 ETF ADVISORY COMMITTEE No. 52-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 33-11 RE: GAO REPORT ON PROPRIETARY TRADING   The U.S...
ICI Default BG
Memo#
25357

GAO Issues Report on Mutual Fund Advertising

  [25357] July 27, 2011 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 7-11 CLOSED-END INVESTMENT COMPANY MEMBERS No. 59-11 ETF ADVISORY COMMITTEE No. 51-11 SEC RULES MEMBERS No. 92-11 RE: GAO ISSUES REPORT ON MUTUAL FUND ADVERTISING   Section 918 of the Dodd-Frank Wall Street...
ICI Default BG
Memo#
25354

ICI - ABASA Joint Letter on Definitions of Swap and Foreign Exchange Forward

  [25354] July 25, 2011 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 57-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 29-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 32-11 ETF ADVISORY COMMITTEE No. 50-11 EQUITY MARKETS ADVISORY COMMITTEE No. 46-11 FIXED-INCOME ADVISORY COMMITTEE No...
ICI Default BG
Memo#
25350

DC Court of Appeals Vacates SEC's Proxy Access Rule

  [25350] July 22, 2011 TO: BOARD OF GOVERNORS No. 4-11 CLOSED-END INVESTMENT COMPANY MEMBERS No. 55-11 ETF ADVISORY COMMITTEE No. 49-11 INVESTMENT COMPANY DIRECTORS No. 12-11 SEC RULES MEMBERS No. 88-11 SMALL FUNDS MEMBERS No. 51-11 RE: DC COURT OF APPEALS VACATES SEC’S PROXY ACCESS...