SEC Rules Content

[29024] May 27, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 3-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-15 SEC RULES COMMITTEE No. 12-15 SMALL FUNDS COMMITTEE No. 7-15 RE: FINRA PROPOSES AMENDMENTS TO COMMUNICATIONS WITH...

[28984] May 14, 2015 TO: SEC RULES COMMITTEE No. 11-15 RE: DRAFT AGENDA FOR JUNE 17th SEC RULES COMMITTEE MEETING   As you know, the next meeting of the SEC Rules Committee has been scheduled for Wednesday, June 17th.  We are pleased to announce that we have several guest speakers...

[28880] April 6, 2015 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-15 ETF ADVISORY COMMITTEE No. 8-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 8-15 SEC RULES COMMITTEE No. 10-15 RE: DRAFT ICI COMMENT LETTER ON SEC'S PROPOSAL TO REQUIRE DISCLOSURE OF HEDGING BY EMPLOYEES AND...

[28877] March 31, 2015 TO: SEC RULES COMMITTEE No. 9-15 RE: DRAFT ICI COMMENT LETTER ON PROPOSED QUALIFIED FINANCIAL CONTRACT RECORDKEEPING RULES THAT WOULD APPLY TO SIFIs AND LARGE RICs   As previously indicated, the Secretary of the Treasury (“Secretary”), in consultation with the...

[28811] March 11, 2015 TO: MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 6-15 FIXED-INCOME ADVISORY COMMITTEE No. 6-15 SEC RULES COMMITTEE No. 8-15 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 10-15 RE: SEC COMMISSIONER GALLAGHER GIVES SPEECH ON FIXED INCOME MARKETS   Earlier this week...

[28777] February 26, 2015 TO: PENSION COMMITTEE No. 3-15 SEC RULES COMMITTEE No. 7-15 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 1-15 RE: SEC STAFF GUIDANCE REGARDING APPLICABILITY OF SEC RULE 482 TO CERTAIN INFORMATION PROVIDED TO PARTICIPANTS IN RETIREMENT PLANS NOT COVERED BY...

[28772] February 25, 2015 TO: SEC RULES COMMITTEE No. 6-15 ETF ADVISORY COMMITTEE No. 3-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 3-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-15 RE: MEMBER CALL TO DISCUSS SEC PROPOSAL TO REQUIRE DISCLOSURE OF HEDGING BY EMPLOYEES AND...

[28705] February 3, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 3-15 BROKER/DEALER ADVISORY COMMITTEE No. 4-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 7-15 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 4-15 OPERATIONS COMMITTEE...

[28702] February 3, 2015 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-15 ICI GLOBAL SECURITIES LENDING & REPO TASK FORCE No. 1-15 INTERNATIONAL COMMITTEE No. 5-15 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 1-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 6-15 SEC RULES...

[28674] January 15, 2015 TO: FIXED-INCOME ADVISORY COMMITTEE No. 2-15 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 1-15 INTERNATIONAL COMMITTEE No. 3-15 INVESTMENT ADVISERS COMMITTEE No. 1-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 3-15 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 1-15...