SEC Rules Content

[29897] May 6, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 10-16 BROKER/DEALER ADVISORY COMMITTEE No. 14-16 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 12-16 OPERATIONS MEMBERS No. 12-16 SEC RULES COMMITTEE No. 21-16 SMALL FUNDS MEMBERS No. 18-16 TAX MEMBERS No. 9-16 TRANSFER AGENT...

[29900] May 6, 2016 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 16-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 17-16 SEC RULES COMMITTEE No. 22-16 RE: SEC SEEKS COMMENT ON A NATIONAL MARKET SYSTEM PLAN TO IMPLEMENT THE CONSOLIDATED AUDIT TRAIL   The Securities and Exchange Commission...

[29873] April 27, 2016 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 15-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 10-16 ETF ADVISORY COMMITTEE No. 10-16 SEC RULES COMMITTEE No. 20-16 RE: SEC EQUITY MARKET STRUCTURE ADVISORY COMMITTEE TO ACT ON RECOMMENDATIONS FOR A MAKER-TAKER PILOT...

[29850] April 22, 2016 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-16 CHIEF RISK OFFICER COMMITTEE No. 10-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-16 COMPLIANCE ADVISORY COMMITTEE No. 3-16 INVESTMENT ADVISERS COMMITTEE No. 7-16 RISK ADVISORY COMMITTEE No. 1-16 SEC RULES...

[29844] April 19, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 7-16 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 4-16 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 26-16 INTERNATIONAL COMMITTEE No. 24-16 INVESTMENT ADVISERS COMMITTEE No. 6-16 SEC RULES COMMITTEE No. 18-16 SMALL FUNDS...

[29837] April 13, 2016 TO: PENSION MEMBERS No. 10-16 SEC RULES COMMITTEE No. 17-16 OPERATIONS MEMBERS No. 10-16 SMALL FUNDS MEMBERS No. 14-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 12-16 BROKER/DEALER ADVISORY COMMITTEE No. 12-16 TRANSFER AGENT ADVISORY COMMITTEE No. 16-16...

[29829] April 12, 2016 TO: SEC RULES COMMITTEE No. 16-16 RE: 2016 SCHEDULE OF REMAINING SEC RULES COMMITTEE MEETINGS   As we approach mid-year 2016, we wanted to provide you with the remaining dates for the 2016 SEC Rules Committee meetings.  Please register for the spring meeting via...

[29812] April 6, 2016 TO: SEC RULES COMMITTEE No. 15-16 RE: SEC CHAIR WHITE SPEECH ON PRIVATE MARKETS AND FINTECH   On March 31, SEC Chair Mary Jo White delivered a speech [*] that addressed the changing landscape of private start-up financing, including the SEC’s focus on the pre-IPO...

[29787] March 23, 2016 TO: FIXED-INCOME ADVISORY COMMITTEE No. 10-16 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 7-16 SEC RULES COMMITTEE No. 14-16 RE: REVISED DRAFT ICI COMMENT LETTER TO TREASURY ON ITS REQUEST FOR INFORMATION ON THE EVOLUTION OF TREASURY MARKET STRUCTURE; YOUR...

[29778] March 21, 2016 TO: ICI GLOBAL REGULATED FUNDS COMMITTEE No. 20-16 ICI GLOBAL STEERING COMMITTEE No. 9-16 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 6-16 SEC RULES COMMITTEE No. 13-16 RE: ICI GLOBAL SUBMITS RESPONSE TO BASEL COMMITTEE CONSULTATION ON “STEP-IN RISK”   As you know...