SEC Rules Content

[27544] September 5, 2013 TO: SEC RULES COMMITTEE No. 34-13 ACCOUNTING/TREASURERS COMMITTEE No. 26-13 END OF DAY PRICING FORUM No. 11-13 SMALL FUNDS COMMITTEE No. 18-13 RE: ICI SUBMITS LETTER TO SEC STAFF ON FUND VALUATION   As you know, ICI staff met with SEC staff earlier this year...

[27532] August 30, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 25-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 27-13 BROKER/DEALER ADVISORY COMMITTEE No. 40-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 18-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 21-13 OPERATIONS...

[27489] August 26, 2013 TO: SEC RULES COMMITTEE No. 32-13 RE: NOTICE OF SEC RULES COMMITTEE MEETING AND DINNER ON OCTOBER 16 ‑17, 2013   The in-person meeting of the SEC Rules Committee has been scheduled for Thursday, October 17th with a dinner on October 16th.  The meeting will be...

[27441] August 7, 2013 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 15-13 SEC RULES COMMITTEE No. 31-13 RE: SAVE THE DATE - NEXT EQUITY MARKETS ADVISORY COMMITTEE MEETING OCTOBER 9, 2013   In conjunction with ICI’s Capital Markets Conference to be held on October 10, 2013 in New York...

[27400] July 24, 2013 TO: ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 31-13 ETF ADVISORY COMMITTEE No. 32-13 ICI GLOBAL EXCHANGE TRADED FUNDS COMMITTEE No. 9-13 ICI GLOBAL MEMBERS INTERNATIONAL COMMITTEE No. 19-13 SEC RULES COMMITTEE No. 30-13 RE: IOSCO FINAL REPORT ON PRINCIPLES FOR...

[27370] July 12, 2013 TO: SEC RULES COMMITTEE No. 29-13 SMALL FUNDS COMMITTEE No. 15-13 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 15-13 INVESTMENT ADVISERS COMMITTEE No. 3-13 RE: SEC LIFTS BAN ON GENERAL SOLICITATION AND ADVERTISING FOR PRIVATE FUNDS AND PROPOSES RELATED INVESTOR...

[27329] June 25, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 16-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 50-13 ICI GLOBAL MEMBERS INTERNATIONAL COMMITTEE No. 17-13 SEC RULES COMMITTEE No. 28-13 RE: DRAFT ICI AND ICI GLOBAL COMMENT LETTER ON SEC’S PROPOSED RULES ON CROSS...

[27326] June 20, 2013 TO: SEC RULES COMMITTEE No. 27-13 INVESTMENT ADVISERS COMMITTEE No. 2-13 SMALL FUNDS COMMITTEE No. 14-13 PENSION COMMITTEE No. 13-13 RE: DRAFT COMMENT LETTER TO SEC IN RESPONSE TO RFI ON POSSIBLE FIDUCIARY DUTY FOR BROKER-DEALERS AND IA-BD HARMONIZATION; COMMENTS...

[27298] June 12, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-13 SEC RULES COMMITTEE No. 26-13 SMALL FUNDS COMMITTEE No. 13-13 RE: DRAFT ADDITIONAL ICI LETTER ON NYSE PROPOSAL REGARDING PROXY DISTRIBUTION FEES; YOUR COMMENTS REQUESTED BY 6/18   As we previously informed you...

[27287] June 10, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 17-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 15-13 BROKER/DEALER ADVISORY COMMITTEE No. 28-13 INVESTMENT COMPANY DIRECTORS No. 9-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 13-13 MUNICIPAL SECURITIES ADVISORY...