ETF Advisory Content

    [23592]   June 29, 2009 TO: ETF ADVISORY COMMITTEE No. 19-09     RE: INSTITUTE COMMENT LETTER ON PROPOSED FINRA RULES RECOMMENDS THAT FINRA WITHDRAW RECENT NOTICE ON ETF SUITABILITY   As you may know, in May FINRA published for comment two new rules that would consolidate the...

    [23561]   June 19, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-09 ETF ADVISORY COMMITTEE No. 16-09 SEC RULES COMMITTEE No. 38-09 SMALL FUNDS COMMITTEE No. 10-09     RE: SEC PROPOSAL TO FACILITATE SHAREHOLDER DIRECTOR NOMINATIONS   The Securities and Exchange Commission...

    [23571]   June 19, 2009 TO: SEC RULES MEMBERS No. 66-09 EQUITY MARKETS ADVISORY COMMITTEE No. 31-09 ETF ADVISORY COMMITTEE No. 18-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 24-09 EXCHANGE-TRADED FUNDS (ETF) COMMITTEE No. 3-09     RE: ICI COMMENT LETTER ON SEC SHORT SALE...

    [23568]   June 19, 2009 TO: SEC RULES COMMITTEE No. 39-09 SMALL FUNDS COMMITTEE No. 11-09 BROKER/DEALER ADVISORY COMMITTEE No. 33-09 ETF ADVISORY COMMITTEE No. 17-09     RE: FINRA PROPOSES CHANGES TO THE NASD'S COMPENSATION RULE AS PART OF ITS RULE CONSOLIDATION PROCESS; CALL TO...

[23560] June 18, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-09 ETF ADVISORY COMMITTEE No. 15-09 SEC RULES COMMITTEE No. 37-09 SMALL FUNDS COMMITTEE No. 9-09 RE: SEC PROPOSAL TO FACILITATE SHAREHOLDER DIRECTOR NOMINATIONS The Securities and Exchange Commission has proposed...

    [23554]   June 17, 2009 TO: SEC RULES COMMITTEE No. 35-09 ETF ADVISORY COMMITTEE No. 14-09 EQUITY MARKETS ADVISORY COMMITTEE No. 26-09     RE: ICI COMMENT LETTER ON CFTC'S CONCEPT RELEASE ON WHETHER TO ELIMINATE THE BONA FIDE HEDGE EXEMPTION FOR SWAP DEALERS   As we previously...

    [23542]   June 12, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 29-09 COMPLIANCE MEMBERS No. 32-09 ETF ADVISORY COMMITTEE No. 13-09 EXCHANGE-TRADED FUNDS (ETF) COMMITTEE No. 2-09 INTERNATIONAL COMMITTEE No. 8-09     RE: FINRA REMINDS FIRMS OF SUITABILITY OBLIGATIONS RELATING TO...

    [23525]   June 11, 2009 TO: SEC RULES COMMITTEE No. 32-09 EQUITY MARKETS ADVISORY COMMITTEE No. 23-09 ETF ADVISORY COMMITTEE No. 11-09     RE: DRAFT ICI COMMENT LETTER ON CFTC'S CONCEPT RELEASE ON WHETHER TO ELIMINATE THE BONA FIDE HEDGE EXEMPTION FOR SWAP DEALERS   The Commodity...

    [23526]   June 11, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 24-09 ETF ADVISORY COMMITTEE No. 12-09 SEC RULES COMMITTEE No. 33-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-09     RE: DRAFT ICI COMMENT LETTER ON SHORT SALE REGULATION; CONFERENCE CALL SCHEDULED FOR JUNE 15...

[23416] April 24, 2009 TO: SEC RULES COMMITTEE No. 19-09 EQUITY MARKETS ADVISORY COMMITTEE No. 18-09 ETF ADVISORY COMMITTEE No. 10-09 RE: CFTC ISSUES CONCEPT RELEASE ON WHETHER TO ELIMINATE THE BONA FIDE HEDGE EXEMPTION FOR SWAP DEALERS The Commodity Futures Trading Commission (“CFTC”...