SEC Rules Content

[28663] January 13, 2015 TO: SEC RULES COMMITTEE No. 1-15 RE: DRAFT AGENDA FOR JANUARY 28TH SEC RULES COMMITTEE MEETING   As you know, the next meeting of the SEC Rules Committee has been scheduled for Wednesday, January 28th.  We are pleased to announce that we have two guest...

[28588] December 17, 2014 TO: ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 18-14 EQUITY MARKETS ADVISORY COMMITTEE No. 19-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-14 SEC RULES COMMITTEE No. 42-14 RE: DRAFT COMMENT LETTER ON SEC DECIMALIZATION PILOT PROPOSAL   The SEC has...

[28591] December 17, 2014 TO: SEC RULES COMMITTEE No. 43-14 SMALL FUNDS COMMITTEE No. 26-14 RE: ICI/IDC DRAFT REPORT ON FUNDS’ USE OF PROXY ADVISORY FIRMS; COMMENTS REQUESTED BY JANUARY 5TH   As previously reported, in June the SEC’s Divisions of Investment Management and Corporation...

[28568] December 11, 2014 TO: SEC RULES COMMITTEE No. 41-14 RE: 2015 SEC RULES COMMITTEE MEETING SCHEDULE   As 2014 draws to a close, I wanted to provide you with the dates for the 2015 SEC Rules Committee meetings and ask that you please reserve them on your calendar. Like past...

[28546] December 2, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 30-14 CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-14 END OF DAY PRICING FORUM No. 6-14 SEC RULES COMMITTEE No. 40-14 RE: VALUATION GUIDANCE INCLUDED IN SEC’s MONEY MARKET FUND RELEASE   Earlier this year, the SEC adopted...

[28469] October 16, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 26-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 44-14 BROKER/DEALER ADVISORY COMMITTEE No. 51-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 27-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 24-14 OPERATIONS...

[28460] October 15, 2014 TO: SEC RULES COMMITTEE No. 38-14 RE: PRELIMINARY AGENDA FOR SEC RULES COMMITTEE MEETING ON OCTOBER 30, 2014   As you know, the next meeting of the SEC Rules Committee will take place on Thursday, October 30th. This is an in-person meeting to be held at the...

[28448] October 14, 2014 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 17-14 ICI GLOBAL MEMBERS No. 42-14 ICI GLOBAL STEERING COMMITTEE No. 13-14 INTERNATIONAL MEMBERS No. 34-14 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 15-14 SEC RULES COMMITTEE No. 37-14 RE: COMMENT LETTER ON UK...

[28441] October 9, 2014 TO: AML COMPLIANCE WORKING GROUP No. 5-14 BROKER/DEALER ADVISORY COMMITTEE No. 50-14 SEC RULES COMMITTEE No. 36-14 TRANSFER AGENT ADVISORY COMMITTEE No. 66-14 RE: ICI COMMENT LETTER ON FINCEN CUSTOMER DUE DILIGENCE PROPOSAL   On October 2, 2014, the Institute...

[28405] September 25, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 24-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 41-14 BROKER/DEALER ADVISORY COMMITTEE No. 46-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 25-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 21-14 OPERATIONS...