Fixed-Income Advisory Content

[29691] February 3, 2016 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 4-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 4-16 ETF ADVISORY COMMITTEE No. 4-16 FIXED-INCOME ADVISORY COMMITTEE No. 4-16 SEC RULES COMMITTEE No. 5-16 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: DRAFT ICI COMMENT...

[29655] January 20, 2016 TO: FIXED-INCOME ADVISORY COMMITTEE No. 3-16 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 2-16 SEC RULES COMMITTEE No. 4-16 RE: DEPARTMENT OF TREASURY SEEKS PUBLIC COMMENT ON EVOLUTION OF TREASURY MARKET STRUCTURE   Yesterday, the U.S. Department of Treasury (...

As previously reported, the Securities and Exchange Commission (“SEC”) issued its proposed liquidity risk management rules for mutual funds and open-end ETFs (“funds”) in late September. SEC Chair White first discussed this liquidity initiative as part of a broader package of reforms...

[29605] January 4, 2016 TO: CHIEF RISK OFFICER COMMITTEE No. 1-16 FIXED-INCOME ADVISORY COMMITTEE No. 1-16 INVESTMENT ADVISERS COMMITTEE No. 1-16 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 1-16 RESEARCH COMMITTEE No. 1-16 SEC RULES COMMITTEE No. 1-16 SMALL FUNDS COMMITTEE No. 1-16 RE...

[29586] December 22, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 32-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 41-15 BROKER/DEALER ADVISORY COMMITTEE No. 56-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-15 COMPLIANCE ADVISORY COMMITTEE No. 11-15 DERIVATIVES MARKETS ADVISORY...

[29567] December 18, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 30-15 CHIEF RISK OFFICER COMMITTEE No. 25-15 COMPLIANCE ADVISORY COMMITTEE No. 10-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 33-15 ETF ADVISORY COMMITTEE No. 32-15 END OF DAY PRICING FORUM No. 11-15 FIXED-INCOME...

[29566] December 17, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 26-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 38-15 BROKER/DEALER ASSOCIATE MEMBERS No. 2-15 CHIEF RISK OFFICER COMMITTEE No. 24-15 COMPLIANCE MEMBERS No. 33-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 32-15...

[29541] December 14, 2015 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 28-15 FIXED-INCOME ADVISORY COMMITTEE No. 36-15 ICI GLOBAL CAPITAL MARKETS UNION TASK FORCE ICI GLOBAL REGULATED FUNDS COMMITTEE No. 74-15 ICI GLOBAL RETIREMENT SAVINGS COMMITTEE ICI GLOBAL STEERING COMMITTEE No. 18...

[29521] December 3, 2015 TO: ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 29-15 ETF ADVISORY COMMITTEE No. 28-15 EQUITY MARKETS ADVISORY COMMITTEE No. 27-15 FIXED-INCOME ADVISORY COMMITTEE No. 35-15 SEC RULES COMMITTEE No. 37-15 RE: SEC PROPOSES RULES FOR THE REGULATION OF NMS STOCK...

[29479] November 9, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 78-15 FIXED-INCOME ADVISORY COMMITTEE No. 34-15 INVESTMENT ADVISER MEMBERS No. 26-15 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ICI SUBMITS COMMENT LETTER ON FINRA PROPOSAL TO REQUIRE MARGIN FOR TBA TRANSACTIONS...