SEC Rules Content

[27264] June 4, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 16-13 END OF DAY PRICING FORUM No. 3-13 SEC RULES COMMITTEE No. 24-13 SMALL FUNDS COMMITTEE No. 11-13 RE: DRAFT LETTER TO SEC STAFF ON THE POTENTIAL FOR VALUATION GUIDANCE   As you know, the issuance of valuation guidance is...

[27259] May 30, 2013 TO: SEC RULES COMMITTEE No. 23-13 RE: DRAFT AGENDA FOR JUNE 13 SEC RULES COMMITTEE MEETING   As we previously informed you, the next meeting of the SEC Rules Committee has been scheduled for Thursday, June 13th.  Our guest speaker will be Barry Miller, Associate...

[27240] May 16, 2013 TO: ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 24-13 ETF ADVISORY COMMITTEE No. 25-13 ICI GLOBAL EXCHANGE TRADED FUNDS COMMITTEE No. 7-13 ICI GLOBAL MEMBERS INTERNATIONAL COMMITTEE No. 15-13 SEC RULES COMMITTEE No. 22-13 RE: ICI AND ICI GLOBAL COMMENT LETTER TO...

[27230] May 9, 2013 TO: SEC RULES COMMITTEE No. 20-13 RE: NOTICE OF JUNE 13TH SEC RULES COMMITTEE MEETING AND VIDEOCONFERENCE; PLEASE RESPOND BY MAY 31ST A meeting of the SEC Rules Committee has been scheduled for Thursday, June 13th at the offices of the Investment Company Institute...

[27234] May 9, 2013 TO: ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 23-13 ETF ADVISORY COMMITTEE No. 24-13 ICI GLOBAL EXCHANGE TRADED FUNDS COMMITTEE No. 6-13 ICI GLOBAL MEMBERS INTERNATIONAL COMMITTEE No. 14-13 SEC RULES COMMITTEE No. 21-13 RE: DRAFT ICI AND ICI GLOBAL COMMENT LETTER...

[27199] April 25, 2013 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 11-13 ETF ADVISORY COMMITTEE No. 21-13 SEC RULES COMMITTEE No. 19-13 RE: FINRA ISSUES INTERPRETIVE GUIDANCE ON THE USE OF PRE-INCEPTION INDEX PERFORMANCE IN INSTITUTIONAL COMMUNICATIONS   On April 22, 2013, FINRA...

[27198] April 24, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 10-13 SEC RULES COMMITTEE No. 18-13 RE: RECENT REGULATORY DEVELOPMENTS CONCERNING NONBANK "SIFIS"   This memorandum briefly describes two recent rulemakings by the...

[27193] April 18, 2013 TO: ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 21-13 ICI GLOBAL EXCHANGE TRADED FUNDS COMMITTEE No. 5-13 ETF ADVISORY COMMITTEE No. 20-13 INTERNATIONAL COMMITTEE No. 13-13 ICI GLOBAL MEMBERS SEC RULES COMMITTEE No. 17-13 RE: IOSCO CONSULTATION ON PRINCIPLES FOR...

[27181] April 15, 2013 TO: OPERATIONS COMMITTEE No. 18-13 SMALL FUNDS COMMITTEE No. 9-13 SEC RULES COMMITTEE No. 16-13 TRANSFER AGENT ADVISORY COMMITTEE No. 30-13 RE: SEC ADOPTS IDENTITY THEFT RED FLAG REGULATION AS REQUIRED BY THE DODD-FRANK ACT; COMPLIANCE DATE SET FOR OCTOBER 2013...

[27171] April 10, 2013 TO: SEC RULES COMMITTEE No. 15-13 EQUITY MARKETS ADVISORY COMMITTEE No. 9-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-13 SMALL FUNDS COMMITTEE No. 8-13 RE: DRAFT ICI LETTER ON PETITION FOR RULEMAKING TO SHORTEN REPORTING DEADLINE UNDER SECTION 13(F) OF THE...