ETF Advisory Content

    [23802]   September 17, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-09 ETF ADVISORY COMMITTEE No. 29-09 SEC RULES COMMITTEE No. 55-09     RE: PROPOSED CHANGES TO NYSE CORPORATE GOVERNANCE REQUIREMENTS; YOUR COMMENTS REQUESTED BY SEPTEMBER 28TH   The Securities and...

    [23735]   August 24, 2009 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 34-09 ETF ADVISORY COMMITTEE No. 27-09 EQUITY MARKETS ADVISORY COMMITTEE No. 35-09 EXCHANGE-TRADED FUNDS (ETF) COMMITTEE No. 6-09 SEC RULES MEMBERS No. 91-09     RE: SEC RE-OPENS COMMENT PERIOD ON SHORT SALE...

    [23725]   August 18, 2009 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 32-09 ETF ADVISORY COMMITTEE No. 26-09 SEC RULES MEMBERS No. 90-09 SMALL FUNDS MEMBERS No. 51-09     RE: ICI LETTER ON SEC PROPOSAL TO FACILITATE SHAREHOLDER DIRECTOR NOMINATIONS   The Institute filed the...

    [23676]   August 4, 2009 TO: SEC RULES MEMBERS No. 83-09 SMALL FUNDS MEMBERS No. 46-09 BROKER/DEALER ADVISORY COMMITTEE No. 43-09 ETF ADVISORY COMMITTEE No. 25-09     RE: INSTITUTE COMMENT LETTER ON FINRA’S PROPOSED COMPENSATION RULE AMENDMENTS   As we previously informed you, [1]...

[23668]   July 30, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-09 ETF ADVISORY COMMITTEE No. 24-09 SEC RULES COMMITTEE No. 45-09 SMALL FUNDS COMMITTEE No. 14-09 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC PROPOSAL TO FACILITATE SHAREHOLDER DIRECTOR NOMINATIONS   The...

[23660]   July 29, 2009 TO: ACCOUNTING/TREASURERS MEMBERS No. 34-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 30-09 COMPLIANCE MEMBERS No. 35-09 ETF ADVISORY COMMITTEE No. 23-09 EQUITY MARKETS ADVISORY COMMITTEE No. 34-09 INVESTMENT ADVISER...

    [23635]   July 17, 2009 TO: SEC RULES COMMITTEE No. 43-09 SMALL FUNDS COMMITTEE No. 13-09 BROKER/DEALER ADVISORY COMMITTEE No. 40-09 ETF ADVISORY COMMITTEE No. 22-09     RE: INSTITUTE DRAFT COMMENT LETTER ON FINRA'S PROPOSED COMPENSATION RULE AMENDMENTS; FEEDBACK REQUESTED BY JULY...

    [23633]   July 15, 2009 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 28-09 ETF ADVISORY COMMITTEE No. 21-09 SEC RULES MEMBERS No. 75-09 SMALL FUNDS MEMBERS No. 43-09     RE: SEC APPROVES NYSE PROPOSAL REGARDING BROKER VOTING ON ELECTIONS OF DIRECTORS AND INVESTMENT ADVISORY...

    [23625]   July 14, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 32-09 SEC RULES MEMBERS No. 74-09 ETF ADVISORY COMMITTEE No. 20-09 EXCHANGE-TRADED FUNDS (ETF) COMMITTEE No. 5-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-09     RE: CESR ISSUES CONSULTATION PAPER ON SHORT...

    [23623]   July 13, 2009 TO: EXCHANGE-TRADED FUNDS SEC RULES COMMITTEE No. 42-09 SMALL FUNDS COMMITTEE No. 12-09     RE: NOTICE OF CONFERENCE CALL FOR INSTITUTE MEMBERS WHO HELD LYONDELL CHEMICAL COMPANY STOCK ON DECEMBER 20, 2007   As you may be aware, the Lyondell Chemical...