SEC Rules Content

[27845] January 15, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 1-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 2-14 SEC RULES COMMITTEE No. 3-14 RE: SEC ELIMINATES REFERENCES TO NRSRO RATINGS FROM RULE 5b-3 AND FUND REGISTRATION FORMS   The SEC recently adopted amendments to certain...

[27840] January 14, 2014 TO: SEC RULES COMMITTEE No. 2-14 RE: NOTICE OF SEC RULES COMMITTEE MEETING AND VIDEOCONFERENCE ON FEBRUARY 18, 2014; PLEASE RESPOND BY FEBRUARY 10TH   The next meeting of the SEC Rules Committee has been scheduled for Tuesday, February 18, 2014, at the offices...

[27817] January 2, 2014 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 1-14 SEC RULES COMMITTEE No. 1-14 RE: DRAFT ICI COMMENT LETTER ON CFTC’S AGGREGATION PROPOSAL; MEMBER COMMENTS REQUESTED BY WEDNESDAY, JANUARY 8   Recently, the...

[27815] December 30, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 34-13 BOARD OF GOVERNORS No. 17-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 36-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 90-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 40-13 ETF ADVISORY COMMITTEE No. 39-13...

[27775] December 16, 2013 TO: SEC RULES COMMITTEE No. 50-13 EQUITY MARKETS ADVISORY COMMITTEE No. 25-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 38-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-13 INTERNATIONAL COMMITTEE No. 30-13 RE: MEMBER CALL ON UK FCA CONSULTATION ON THE USE...

[27771] December 13, 2013 TO: SEC RULES COMMITTEE No. 48-13 SMALL FUNDS COMMITTEE No. 23-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-13 RE: DRAFT LETTER ON PROPOSED STANDARDS FOR ASSESSING FINANCIAL INSTITUTIONS’ POLICIES AND PRACTICES FOR DIVERSITY AND INCLUSION   As you know...

[27769] December 13, 2013 TO: BOARD OF GOVERNORS No. 15-13 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 87-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 37-13 ETF ADVISORY COMMITTEE No. 37-13...

[27746] December 6, 2013 TO: SEC RULES COMMITTEE No. 47-13 RE: 2014 SEC RULES COMMITTEE MEETING SCHEDULE   As 2013 draws to a close, I wanted to provide you with the dates for the 2014 SEC Rules Committee meetings and ask that you please reserve them on your calendar. Like past...

[27719] November 25, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 31-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 83-13 SEC RULES COMMITTEE No. 46-13 RE: MEMBER CALL TO DISCUSS POTENTIAL COMMENTS ON CFTC’S RE-PROPOSED POSITION LIMITS AND AGGREGATION PROPOSAL ON TUESDAY...

[27715] November 22, 2013 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 18-13 PENSION COMMITTEE No. 30-13 PENSION OPERATIONS ADVISORY COMMITTEE No. 29-13 SEC RULES COMMITTEE No. 45-13 SMALL FUNDS COMMITTEE No. 21-13 RE: UPDATE ON INSTITUTE ACTIVITIES REGARDING TARGET DATE FUNDS  ...