Municipal Securities Advisory Content

Filter Results By
Showing Results 291 - 300 of 536
ICI Default BG
Memo#
25040

SEC Publishes FAQs on Pay-to-Play Rule

  [25040] March 23, 2011 TO: 529 PLAN MEMBERS No. 2-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 18-11 BROKER/DEALER ADVISORY COMMITTEE No. 18-11 CLOSED-END INVESTMENT COMPANY MEMBERS No. 29-11 COMPLIANCE MEMBERS No. 21-11 INVESTMENT ADVISER MEMBERS No. 10-11 MUNICIPAL...
ICI Default BG
Memo#
25020

SEC Notice to N-MFP Filers Regarding April Filings

  [25020] March 10, 2011 TO: ACCOUNTING/TREASURERS MEMBERS No. 4-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 15-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 15-11 SEC RULES MEMBERS No. 43-11 RE: SEC NOTICE TO N-MFP FILERS REGARDING APRIL FILINGS   The SEC recently issued the...
ICI Default BG
Memo#
24986

ICI Letter on SEC Municipal Advisor Registration Proposal

[24986] February 23, 2011 TO: 529 PLAN ADVISORY COMMITTEE No. 3-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 14-11 BROKER/DEALER ADVISORY COMMITTEE No. 12-11 CLOSED-END INVESTMENT COMPANY MEMBERS No. 24-11 COMPLIANCE MEMBERS No. 19-11 FIXED-INCOME ADVISORY COMMITTEE No. 24...
ICI Default BG
Memo#
24976

ICI Draft Letter on SEC Municipal Advisor Registration Proposal

  [24976] February 18, 2011 TO: 529 PLAN ADVISORY COMMITTEE No. 2-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 13-11 BROKER/DEALER ADVISORY COMMITTEE No. 11-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-11 COMPLIANCE ADVISORY COMMITTEE No. 3-11 FIXED-INCOME ADVISORY...
ICI Default BG
Memo#
24950

ICI Letter on SEC Study on Credit Rating Agency Standardization

  [24950] February 8, 2011 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 19-11 FIXED-INCOME ADVISORY COMMITTEE No. 18-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 10-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 10-11 SEC RULES MEMBERS No. 30-11 SMALL FUNDS MEMBERS No. 18-11 RE: ICI...
ICI Default BG
Memo#
24931

ICI Letter on Protection of Customer Collateral for Uncleared Swaps

  [24931] February 2, 2011 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 16-11 DERIVATIVES MARKETS ADVISORY COMMITTEE ETF ADVISORY COMMITTEE No. 11-11 EQUITY MARKETS ADVISORY COMMITTEE No. 10-11 FIXED-INCOME ADVISORY COMMITTEE No. 15-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 9-11...