SEC Rules Content

[28027] April 10, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 6-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-14 SEC RULES COMMITTEE No. 14-14 SMALL FUNDS COMMITTEE No. 6-14 RE: FINRA ANNOUNCES RETROSPECTIVE REVIEW OF RULES RELATED TO COMMUNICATIONS WITH THE PUBLIC  ...

[28016] April 7, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 5-14 PENSION COMMITTEE No. 9-14 PENSION OPERATIONS ADVISORY COMMITTEE No. 7-14 SEC RULES COMMITTEE No. 13-14 SMALL FUNDS COMMITTEE No. 5-14 RE: SEC REOPENS COMMENT PERIOD FOR 2010 TARGET DATE FUNDS RULE PROPOSAL...

[28010] April 2, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 25-14 SEC RULES COMMITTEE No. 12-14 RE: MEMBER CALL TO DISCUSS POTENTIAL COMMENTS ON SEC’S PROPOSED STANDARDS FOR “COVERED CLEARING AGENCIES” ON THURSDAY, APRIL 10 AT...

[27999] March 28, 2014 TO: SEC RULES COMMITTEE No. 11-14 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-14 INTERNATIONAL COMMITTEE No. 8-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 5-14 ETF ADVISORY COMMITTEE No. 3-14 RE: RUSSIA SANCTIONS AND POTENTIAL EFFECTS ON INVESTMENT COMPANIES  ...

[27953] March 13, 2014 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 2-14 PENSION COMMITTEE No. 5-14 PENSION OPERATIONS ADVISORY COMMITTEE No. 3-14 SEC RULES COMMITTEE No. 10-14 SMALL FUNDS COMMITTEE No. 3-14 RE: UPDATE ON INSTITUTE'S ACTIVITIES REGARDING TARGET DATE FUNDS   The...

March 12, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 15-14 FIXED-INCOME ADVISORY COMMITTEE No. 3-14 SEC RULES COMMITTEE No. 9-14 SECURITIES OPERATIONS ADVISORY GROUP RE: DRAFT ICI COMMENT LETTER ON FINRA’S PROPOSED MARGIN...

[27918] February 26, 2014 TO: SEC RULES COMMITTEE No. 7-14 EQUITY MARKETS ADVISORY COMMITTEE No. 4-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 4-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-14 INTERNATIONAL COMMITTEE No. 4-14 ICI GLOBAL STEERING COMMITTEE No. 3-14 ICI GLOBAL...

[27916] February 26, 2014 TO: FIXED-INCOME ADVISORY COMMITTEE No. 2-14 SEC RULES COMMITTEE No. 6-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 4-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 4-14 RE: SEC RE-OPENS COMMENT PERIOD FOR...

[27897] February 18, 2014 TO: SEC RULES COMMITTEE No. 5-14 EQUITY MARKETS ADVISORY COMMITTEE No. 2-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 3-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-14 INTERNATIONAL COMMITTEE No. 3-14 RE: DRAFT COMMENT LETTER ON FCA DEALING COMMISSION...

[27880] February 10, 2014 TO: SEC RULES COMMITTEE No. 4-14 RE: DRAFT AGENDA FOR FEBRUARY 18TH SEC RULES COMMITTEE MEETING   As we previously informed you, the next meeting of the SEC Rules Committee has been scheduled for Tuesday, February 18th.  We are pleased to announce that our...