SEC Rules Content

[28178] June 11, 2014 TO: SEC RULES COMMITTEE No. 24-14 RE: DRAFT AGENDA AND GUEST SPEAKER FOR JUNE 19TH SEC RULES COMMITTEE MEETING   As we previously informed you, the next meeting of the SEC Rules Committee has been scheduled for Thursday, June 19th.  We are pleased to announce...

[28141] May 27, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 12-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-14 SEC RULES COMMITTEE No. 23-14 SMALL FUNDS COMMITTEE No. 11-14 RE: ICI SUBMITS COMMENT LETTER ON FINRA'S RETROSPECTIVE REVIEW OF COMMUNICATIONS WITH THE PUBLIC...

[28139] May 23, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 11-14 PENSION COMMITTEE No. 13-14 PENSION OPERATIONS ADVISORY COMMITTEE No. 11-14 SEC RULES COMMITTEE No. 22-14 SMALL FUNDS COMMITTEE No. 10-14 RE: ICI DRAFT COMMENT LETTER IN RESPONSE TO SEC'S LATEST TARGET DATE...

[28126] May 15, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 21-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 36-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 10-14 ETF ADVISORY COMMITTEE No. 9-14 EQUITY MARKETS ADVISORY COMMITTEE No. 8-14 MONEY MARKET FUNDS ADVISORY COMMITTEE...

[28121] May 15, 2014 TO: SEC RULES COMMITTEE No. 19-14 EQUITY MARKETS ADVISORY COMMITTEE No. 7-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 8-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-14 INTERNATIONAL COMMITTEE No. 15-14 ICI GLOBAL STEERING COMMITTEE No. 8-14 ICI GLOBAL...

[28125] May 15, 2014 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 35-14 ICI GLOBAL MEMBERS No. 21-14 INTERNATIONAL COMMITTEE No. 16-14 SEC RULES COMMITTEE No. 20-14 RE: MEMBER CALL TO DISCUSS EU CONSULTATION PAPER ON MARGIN REQUIREMENTS FOR UNCLEARED DERIVATIVES ON WEDNESDAY, JUNE 4...

[28118] May 13, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 33-14 SEC RULES COMMITTEE No. 18-14 RE: MEMBER CALL TO DISCUSS SEC'S PROPOSED REPORTING REQUIREMENTS FOR SECURITY-BASED SWAP DEALERS, MAJOR SECURITY-BASED SWAP...

[28115] May 12, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 10-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-14 SEC RULES COMMITTEE No. 17-14 SMALL FUNDS COMMITTEE No. 8-14 RE: ICI'S DRAFT COMMENT LETTER ON FINRA'S RETROSPECTIVE REVIEW OF COMMUNICATIONS WITH THE PUBLIC...

[28079] May 1, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 17-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 30-14 SEC RULES COMMITTEE No. 16-14 RE: DRAFT ICI COMMENT LETTER ON PROTECTION OF COLLATERAL FOR CLEARED SECURITY-BASED SWAPS UNDER SEC’S PROPOSED STANDARDS FOR...

[28069] April 29, 2014 TO: SEC RULES COMMITTEE No. 15-14 RE: NOTICE OF JUNE 19TH SEC RULES COMMITTEE MEETING AND VIDEOCONFERENCE; PLEASE RESPOND BY MAY 30TH A meeting of the SEC Rules Committee has been scheduled for Thursday, June 19th at the offices of the Investment Company...