SEC Rules Content

[30223] September 8, 2016 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 32-16 SEC RULES COMMITTEE No. 41-16 RE: DRAFT ICI COMMENT LETTER TO SEC ON PROPOSED RULES TO IMPROVE DISCLOSURE OF INSTITUTIONAL ORDER HANDLING INFORMATION; MEMBER COMMENTS REQUESTED BY SEPTEMBER 15   The Securities...

[30197] September 1, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-16 CHIEF RISK OFFICER COMMITTEE No. 25-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-16 COMPLIANCE ADVISORY COMMITTEE No. 10-16 DERIVATIVES MARKETS ADVISORY COMMITTEE...

[30189] August 31, 2016 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 17-16 SEC RULES COMMITTEE No. 39-16 SMALL FUNDS COMMITTEE No. 25-16 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 18-16 RE: ICI DRAFT COMMENT LETTER ON NYSE PROPOSED AMENDMENT TO FEES FOR SHAREHOLDER REPORT...

[30177] August 26, 2016 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 16-16 ETF ADVISORY COMMITTEE No. 17-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 18-16 SEC RULES COMMITTEE No. 38-16 RE: DRAFT LETTER TO VARIOUS EXCHANGES CONCERNING CLOSED-END FUND ANNUAL SHAREHOLDER MEETINGS AND...

[30165] August 24, 2016 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 44-16 SEC RULES COMMITTEE No. 37-16 FIXED-INCOME ADVISORY COMMITTEE No. 25-16 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 22-16 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 54-16 RE: OCC ISSUES PROPOSAL ON STAYS IN...

[30142] August 17, 2016 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-16 SEC RULES COMMITTEE No. 36-16 SMALL FUNDS COMMITTEE No. 22-16 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 16-16 RE: SEC SEEKS COMMENT ON NYSE PROPOSED AMENDMENT TO FEES FOR SHAREHOLDER REPORT DELIVERY...

[30120] August 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 17-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 25-16 BROKER/DEALER ADVISORY COMMITTEE No. 26-16 CHIEF RISK OFFICER COMMITTEE No. 21-16 COMPLIANCE ADVISORY COMMITTEE No. 9-16 INVESTMENT ADVISERS COMMITTEE No. 14-16...

[30116] August 4, 2016 TO: FIXED-INCOME ADVISORY COMMITTEE No. 21-16 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 17-16 SEC RULES COMMITTEE No. 34-16 RE: DRAFT ICI COMMENT LETTER TO SEC ON PROPOSED FINRA RULE CHANGE RELATING TO THE REPORTING OF U.S. TREASURY SECURITIES TO TRACE; COMMENTS...

[30089] July 28, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 16-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-16 CHIEF RISK OFFICER COMMITTEE No. 20-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-16 COMPLIANCE ADVISORY COMMITTEE No. 8-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No...

[30068] July 21, 2016 TO: FIXED-INCOME ADVISORY COMMITTEE No. 19-16 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 16-16 SEC RULES COMMITTEE No. 32-16 RE: FINRA PROPOSES RULE CHANGE RELATING TO THE REPORTING OF U.S. TREASURY SECURITIES TO TRACE; MEMBER CALL SCHEDULED FOR JULY 27 AT 2:00 P...