Fixed-Income Advisory Content

    [24005]   December 8, 2009 TO: COMPLIANCE ADVISORY COMMITTEE No. 7-09 EQUITY MARKETS ADVISORY COMMITTEE No. 55-09 FIXED-INCOME ADVISORY COMMITTEE No. 30-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 51-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 59-09 SEC RULES MEMBERS No. 134...

    [23992]   December 2, 2009 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 58-09 EQUITY MARKETS ADVISORY COMMITTEE No. 54-09 FIXED-INCOME ADVISORY COMMITTEE No. 29-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 49-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 58-09 SEC RULES MEMBERS...

    [23986]   November 30, 2009 TO: SEC RULES MEMBERS No. 129-09 EQUITY MARKETS ADVISORY COMMITTEE No. 53-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 57-09 FIXED-INCOME ADVISORY COMMITTEE No. 28-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 48-09 CLOSED-END INVESTMENT COMPANY...

    [23979]   November 24, 2009 TO: FIXED-INCOME ADVISORY COMMITTEE No. 27-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 55-09     RE: FINRA RECEIVES APPROVAL TO PUBLISH HISTORIC TRACE DATA   The Financial Industry Regulatory Authority received approval from the Securities and...

    [23951]   November 13, 2009 TO: COMPLIANCE ADVISORY COMMITTEE No. 5-09 EQUITY MARKETS ADVISORY COMMITTEE No. 50-09 FIXED-INCOME ADVISORY COMMITTEE No. 26-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 47-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 54-09 SEC RULES COMMITTEE No. 66...

    [23930]   November 5, 2009 TO: MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 52-09 FIXED-INCOME ADVISORY COMMITTEE No. 25-09     RE: SEC SETTLES BROKER-DEALER PAY-TO-PLAY MATTER IN JEFFERSON COUNTY, ALABAMA   The Securities and Exchange Commission has settled a pay-to-play action...

    [23917]   October 30, 2009 TO: RISK MANAGEMENT ADVISORY COMMITTEE No. 1-09 RISK MANAGEMENT COMMITTEE No. 13-09 SEC RULES MEMBERS No. 117-09 SMALL FUNDS MEMBERS No. 62-09 FIXED-INCOME ADVISORY COMMITTEE No. 24-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 45-09 MUNICIPAL SECURITIES...

    [23899]   October 26, 2009 TO: FIXED-INCOME ADVISORY COMMITTEE No. 23-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 49-09     RE: FINRA PROPOSES TO EXPAND TRACE TO INCLUDE ASSET-BACKED SECURITIES   The Financial Industry Regulatory Authority (“FINRA”) has proposed to designate...

    [23877]   October 15, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-09 EQUITY MARKETS ADVISORY COMMITTEE No. 44-09 FIXED-INCOME ADVISORY COMMITTEE No. 22-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 42-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 48-09 SEC RULES...

    [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...