ETF Advisory Content

    [23925]   November 4, 2009 TO: SEC RULES MEMBERS No. 119-09 EQUITY MARKETS ADVISORY COMMITTEE No. 48-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 49-09 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 10-09 ETF ADVISORY COMMITTEE No. 38-09 SMALL FUNDS MEMBERS No. 64-09     RE: ICI...

    [23898]   October 26, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 47-09 ETF ADVISORY COMMITTEE No. 37-09     RE: FINRA PROPOSES TO MODIFY RULES FOR CLEARLY ERRONEOUS TRADES   The Financial Industry Regulatory Authority (“FINRA”) has proposed to amend its rules governing clearly...

    [23891]   October 21, 2009 TO: ETF ADVISORY COMMITTEE No. 36-09 EQUITY MARKETS ADVISORY COMMITTEE No. 46-09 INVESTMENT ADVISER MEMBERS No. 19-09 SEC RULES MEMBERS No. 112-09     RE: SEC AND CFTC ISSUE JOINT REPORT ON HARMONIZATION OF REGULATION   On October 16th, the Securities...

    [23876]   October 15, 2009 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 45-09 ETF ADVISORY COMMITTEE No. 34-09 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 9-09 EQUITY MARKETS ADVISORY COMMITTEE No. 43-09 SEC RULES MEMBERS No. 109-09     RE: SEC PROPOSAL TO ELIMINATE "FLASH ORDER"...

    [23880]   October 15, 2009 TO: ETF ADVISORY COMMITTEE No. 35-09 EQUITY MARKETS ADVISORY COMMITTEE No. 45-09 SEC RULES MEMBERS No. 111-09     RE: FINRA PUBLISHES DAILY AND MONTHLY SHORT SALE DATA   The Securities and Exchange Commission has approved a rule change proposed by the...

    [23873]   October 14, 2009 TO: ACCOUNTING/TREASURERS MEMBERS No. 44-09 COMPLIANCE MEMBERS No. 45-09 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 8-09 ETF ADVISORY COMMITTEE No. 33-09 EQUITY MARKETS ADVISORY COMMITTEE No. 42-09 FIXED-INCOME ADVISORY COMMITTEE No. 21-09 INVESTMENT...

    [23858]   October 8, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 40-09 ETF ADVISORY COMMITTEE No. 31-09     RE: SEC APPROVES EXCHANGE RULES FOR ERRONEOUS TRADES   The Securities and Exchange Commission has approved a series of “model” rules for breaking “clearly erroneous”...

    [23859]   October 8, 2009 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 44-09 ETF ADVISORY COMMITTEE No. 32-09 SEC RULES MEMBERS No. 105-09     RE: ICI COMMENT LETTER ON PROPOSED CHANGES TO NYSE CORPORATE GOVERNANCE REQUIREMENTS   The Institute today filed with the Securities and...

    [23829]   September 30, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 22-09 ETF ADVISORY COMMITTEE No. 30-09 SEC RULES COMMITTEE No. 57-09     RE: ICI DRAFT COMMENT LETTER ON PROPOSED CHANGES TO NYSE CORPORATE GOVERNANCE REQUIREMENTS; YOUR COMMENTS REQUESTED BY OCTOBER 2ND...

    [23801]   September 17, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19-09 ETF ADVISORY COMMITTEE No. 28-09 EQUITY MARKETS ADVISORY COMMITTEE No. 39-09 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 7-09 SEC RULES COMMITTEE No. 54-09     RE: DRAFT ICI COMMENT LETTER ON SEC...