SEC Rules Content

[27711] November 21, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 82-13 SEC RULES COMMITTEE No. 44-13 RE: DRAFT ICI SUPPLEMENTAL COMMENT LETTER ON SEC’S PROPOSED RULES ON CAPITAL, MARGIN AND SEGREGATION; MEMBER COMMENTS...

[27705] November 19, 2013 TO: SEC RULES COMMITTEE No. 43-13 SMALL FUNDS COMMITTEE No. 20-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 29-13 RE: REGULATORS PROPOSE STANDARDS FOR ASSESSING FINANCIAL INSTITUTIONS’ POLICIES AND PRACTICES FOR DIVERSITY AND INCLUSION; ICI MEMBER CALL...

[27682] November 6, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-13 ICI GLOBAL SECURITIES LENDING & REPO TASK FORCE No. 5-13 INTERNATIONAL COMMITTEE No. 27-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 32-13 SEC RULES COMMITTEE No. 42-13 RE: DRAFT ICI AND ICI GLOBAL LETTER...

[27625] October 4, 2013 TO: SEC RULES COMMITTEE No. 41-13 RE: DRAFT AGENDA AND OTHER IMPORTANT INFORMATION FOR OCTOBER 17 SEC RULES COMMITTEE MEETING   Meeting Time and Location The annual in-person meeting of the SEC Rules Committee is quickly approaching. This year’s meeting...

[27624] October 3, 2013 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 22-13 SEC RULES COMMITTEE No. 40-13 RE: REMINDER AND FINAL AGENDA - EQUITY MARKETS ADVISORY COMMITTEE MEETING OCTOBER 9, 2013   Please find attached the final agenda for the meeting of the Equity Markets Advisory...

[27590] September 24, 2013 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 20-13 SEC RULES COMMITTEE No. 39-13 RE: REMINDER AND DRAFT AGENDA - NEXT EQUITY MARKETS ADVISORY COMMITTEE MEETING OCTOBER 9, 2013   As a reminder, in conjunction with ICI’s Capital Markets Conference to be held on...

[27573] September 19, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 27-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 33-13 BROKER/DEALER ADVISORY COMMITTEE No. 45-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 25-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 25-13 OPERATIONS...

[27568] September 17, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 24-13 SEC RULES COMMITTEE No. 37-13 RE: FEDERAL RESERVE FINAL RULE ON SUPERVISION AND REGULATION ASSESSMENTS FOR CERTAIN BANK HOLDING COMPANIES, SAVINGS AND LOAN...

[27561] September 13, 2013 TO: FIXED-INCOME ADVISORY COMMITTEE No. 23-13 SEC RULES COMMITTEE No. 36-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 24-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 22-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 22-13 RE: FEDERAL AGENCIES RE-PROPOSE...

[27553] September 10, 2013 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 16-13 INVESTMENT ADVISERS COMMITTEE No. 4-13 SEC RULES COMMITTEE No. 35-13 SMALL FUNDS COMMITTEE No. 19-13 RE: DRAFT ICI LETTER ON PROPOSED MEASURES RELATING TO GENERAL SOLICITATION AND ADVERTISING FOR...