SEC Rules Content

[28382] September 19, 2014 TO: SEC RULES COMMITTEE No. 34-14 RE: NOTICE OF SEC RULES COMMITTEE DINNER ON OCTOBER 29 AND MEETING ON OCTOBER 30, 2014   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...

[28315] August 15, 2014 TO: FIXED-INCOME ADVISORY COMMITTEE No. 13-14 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 7-14 INTERNATIONAL COMMITTEE No. 26-14 INVESTMENT ADVISERS COMMITTEE No. 6-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 20-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 16...

[28307] August 11, 2014 TO: AML COMPLIANCE WORKING GROUP No. 3-14 BROKER/DEALER ADVISORY COMMITTEE No. 41-14 SEC RULES COMMITTEE No. 32-14 TRANSFER AGENT ADVISORY COMMITTEE No. 51-14 RE: FINCEN PROPOSES CUSTOMER DUE DILIGENCE RULES   On July 30, 2014, the Financial Crimes Enforcement...

[28287]   July 31, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-14 CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 48-14 SEC RULES COMMITTEE No. 31-14 RE: NEW ICI REGISTERED FUND CPO ADVISORY COMMITTEE - YOUR RESPONSE REQUIRED TO JOIN; INITIAL...

[28272] July 16, 2014 TO: FIXED-INCOME ADVISORY COMMITTEE No. 11-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 12-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 14-14 SEC RULES COMMITTEE No. 30-14 RE: ICI FILES COMMENT LETTER ON...

[28236] July 2, 2014 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 11-14 FIXED-INCOME ADVISORY COMMITTEE No. 9-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 10-14 SEC RULES COMMITTEE No. 29-14 SMALL FUNDS COMMITTEE No. 18-14 SEC RULES MEMBERS No. 26-14 SMALL FUNDS MEMBERS No. 15-14 RE...

[28229] June 25, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 16-14 PENSION COMMITTEE No. 14-14 PENSION OPERATIONS ADVISORY COMMITTEE No. 13-14 SEC RULES COMMITTEE No. 28-14 SMALL FUNDS COMMITTEE No. 17-14 RE: ICI DRAFT COMMENT LETTER IN RESPONSE TO DOL’S REQUEST FOR...

[28213] June 18, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 25-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 40-14 INTERNATIONAL COMMITTEE No. 18-14 ICI GLOBAL MEMBERS No. 22-14 SEC RULES COMMITTEE No. 27-14 RE: DRAFT ICI GLOBAL COMMENT LETTER ON EU CONSULTATION PAPER ON...

[28189] June 16, 2014 TO: FIXED-INCOME ADVISORY COMMITTEE No. 8-14 INTERNATIONAL COMMITTEE No. 17-14 INVESTMENT ADVISERS COMMITTEE No. 5-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 12-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 9-14 SEC RULES COMMITTEE No. 26-14 SMALL FUNDS...

[28182] June 11, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 14-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-14 COMPLIANCE ADVISORY COMMITTEE No. 3-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 39-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 11-14 ETF ADVISORY COMMITTEE No. 10...