SEC Rules Content

[30035] July 13, 2016 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-16 CHIEF RISK OFFICER COMMITTEE No. 17-16 CLOSED-END INVESTMENT COMPANY MEMBERS No. 11-16 COMPLIANCE ADVISORY COMMITTEE No. 7-16 INVESTMENT ADVISERS COMMITTEE No. 12-16 RISK ADVISORY COMMITTEE No. 3-16 SEC RULES...

[30028] July 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-16 CHIEF RISK OFFICER COMMITTEE No. 16-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-16 COMPLIANCE ADVISORY COMMITTEE No. 6-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 33...

[30025] July 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 12-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 20-16 BROKER/DEALER ADVISORY COMMITTEE No. 22-16 CHIEF RISK OFFICER COMMITTEE No. 15-16 COMPLIANCE ADVISORY COMMITTEE No. 5-16 INVESTMENT ADVISERS COMMITTEE No. 10-16...

[30010] July 5, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 18-16 BROKER/DEALER ADVISORY COMMITTEE No. 20-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-16 CHIEF RISK OFFICER COMMITTEE No. 14-16 COMPLIANCE ADVISORY COMMITTEE No. 4-16 INVESTMENT ADVISERS COMMITTEE No. 9-16...

[30007] June 29, 2016 TO: CHIEF INFORMATION SECURITY OFFICER ADVISORY COMMITTEE EQUITY MARKETS ADVISORY COMMITTEE No. 22-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 29-16 SECURITIES OPERATIONS ADVISORY COMMITTEE SEC RULES COMMITTEE No. 28-16 RE: DRAFT ICI COMMENT LETTER TO SEC ON...

[29995] June 23, 2016 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 7-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-16 INTERNAL SALES MANAGERS ROUNDTABLE No. 3-16 SALES AND MARKETING COMMITTEE No. 6-16 SEC RULES COMMITTEE No. 27-16...

[29983] June 16, 2016 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-16 INTERNAL SALES MANAGERS ROUNDTABLE No. 2-16 SALES AND MARKETING COMMITTEE No. 4-16 SEC RULES COMMITTEE No. 26-16...

[29946] May 31, 2016 TO: SEC RULES COMMITTEE No. 25-16 RE: REMINDER - SEC RULES COMMITTEE MEETING ON JUNE 16; PRELIMINARY AGENDA ATTACHED   As you know, the next meeting of the SEC Rules Committee will take place on Thursday, June 16th.  We are pleased to have two SEC guest speakers...

[29912] May 16, 2016 TO: AML COMPLIANCE WORKING GROUP No. 2-16 BROKER/DEALER ADVISORY COMMITTEE No. 15-16 INVESTMENT ADVISERS COMMITTEE No. 8-16 OPERATIONS COMMITTEE No. 11-16 SEC RULES COMMITTEE No. 23-16 SMALL FUNDS COMMITTEE No. 14-16 TRANSFER AGENT ADVISORY COMMITTEE No. 19-16 RE...

[29916] May 16, 2016 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 20-16 SEC RULES COMMITTEE No. 24-16 FIXED-INCOME ADVISORY COMMITTEE No. 15-16 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 13-16 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 33-16 RE: BOARD OF GOVERNORS OF THE FEDERAL...