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Memo#
20987

Consolidation of NASD and NYSE Member Regulation Operations

    [20987]   March 23, 2007 TO: SEC RULES MEMBERS No. 39-07 COMPLIANCE MEMBERS No. 15-07 CLOSED-END INVESTMENT COMPANY MEMBERS No. 21-07 EQUITY MARKETS ADVISORY COMMITTEE No. 15-07 UNIT INVESTMENT TRUST MEMBERS No. 7-07 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 3-07 ETF...
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Memo#
20923

Institute Letter to SEC Chairman Cox Regarding NYSE Proxy Voting Proposal

    [20923]   March 2, 2007 TO: BOARD OF GOVERNORS No. 8-07 SEC RULES MEMBERS No. 27-07 CLOSED-END INVESTMENT COMPANY MEMBERS No. 14-07 SMALL FUNDS MEMBERS No. 19-07 ETF ADVISORY COMMITTEE No. 9-07     RE: INSTITUTE LETTER TO SEC CHAIRMAN COX REGARDING NYSE PROXY VOTING PROPOSAL   The...
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Memo#
20899

NASD and NYSE Proposals Relating to Research Analyst Conflicts of Interest

    [20899]   February 23, 2007 TO: SEC RULES COMMITTEE No. 19-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-07 ETF ADVISORY COMMITTEE No. 8-07 EQUITY MARKETS ADVISORY COMMITTEE No. 10-07 UNIT INVESTMENT TRUST COMMITTEE No. 1-07     RE: NASD AND NYSE PROPOSALS RELATING TO RESEARCH...
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Memo#
20877

SEC Proposal to Implement the Credit Rating Agency Reform Act

    [20877]   February 16, 2007 TO: SEC RULES MEMBERS No. 21-07 FIXED-INCOME ADVISORY COMMITTEE No. 2-07 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 1-07 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 2-07 CLOSED-END INVESTMENT COMPANY MEMBERS No. 13-07 ETF ADVISORY COMMITTEE No. 6-07...
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Memo#
20874

Institute Letter on SEC Rule Proposals Relating to Short Selling

    [20874]   February 16, 2007 TO: SEC RULES MEMBERS No. 20-07 EQUITY MARKETS ADVISORY COMMITTEE No. 8-07 CLOSED-END INVESTMENT COMPANY MEMBERS No. 12-07 ETF ADVISORY COMMITTEE No. 5-07     RE: INSTITUTE LETTER ON SEC RULE PROPOSALS RELATING TO SHORT SELLING   The Institute has filed...