SEC Rules Content

[27095] March 11, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-13 SEC RULES COMMITTEE No. 13-13 SMALL FUNDS COMMITTEE No. 6-13 RE: DRAFT ICI COMMENT LETTER ON NYSE PROPOSAL REGARDING PROXY DISTRIBUTION FEES; YOUR COMMENTS REQUESTED BY 3/13   As  previously indicated, the...

[27100] March 11, 2013 TO: INVESTMENT ADVISERS COMMITTEE No. 1-13 PENSION COMMITTEE No. 6-13 SEC RULES COMMITTEE No. 14-13 SMALL FUNDS COMMITTEE No. 7-13 RE: NOTICE OF COMMITTEE CONFERENCE CALL: SEC REQUESTS DATA ON POSSIBLE FIDUCIARY DUTY FOR BROKER-DEALERS AND IA-BD HARMONIZATION  ...

[27059] February 28, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 24-13 INTERNATIONAL COMMITTEE No. 8-13 ICI GLOBAL MEMBERS SEC RULES COMMITTEE No. 12-13 RE: DRAFT ICI AND ICI GLOBAL COMMENT LETTER TO BASEL COMMITTEE AND IOSCO ON...

[27049] February 25, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-13 SEC RULES COMMITTEE No. 11-13 SMALL FUNDS COMMITTEE No. 5-13 RE: SEC REQUEST FOR COMMENT ON NYSE PROPOSAL REGARDING PROXY DISTRIBUTION FEES; 2/28 CONFERENCE CALL   As you may recall, last year an advisory...

[27005] February 12, 2013 TO: SEC RULES COMMITTEE No. 10-13 RE: DRAFT AGENDA AND GUEST SPEAKERS FOR FEBRUARY 27 SEC RULES COMMITTEE MEETING The first SEC Rules Committee meeting of 2013 has been scheduled for Wednesday, February 27th.  The meeting will take place at the Investment...

[26972] February 6, 2013 TO: ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 9-13 ETF ADVISORY COMMITTEE No. 9-13 ICI GLOBAL EXCHANGE TRADED FUNDS COMMITTEE No. 2-13 ICI GLOBAL MEMBERS INTERNATIONAL COMMITTEE No. 5-13 SEC RULES COMMITTEE No. 9-13 RE: DRAFT ICI AND ICI GLOBAL LETTER TO IOSCO...

[26952] January 30, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 5-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 5-13 BROKER/DEALER ADVISORY COMMITTEE No. 8-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 5-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 2-13 OPERATIONS COMMITTEE...

[26942] January 24, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 11-13 ICI GLOBAL MEMBERS INTERNATIONAL COMMITTEE No. 4-13 SEC RULES COMMITTEE No. 7-13 RE: DRAFT ICI AND ICI GLOBAL COMMENT LETTER ON CFTC’S FURTHER PROPOSED...

[26893] January 16, 2013 TO: ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 4-13 ETF ADVISORY COMMITTEE No. 4-13 ICI GLOBAL EXCHANGE TRADED FUNDS COMMITTEE No. 1-13 ICI GLOBAL MEMBERS INTERNATIONAL COMMITTEE No. 3-13 SEC RULES COMMITTEE No. 6-13 RE: IOSCO AND ESMA/EBA CONSULTATIONS ON...

[26881] January 15, 2013 TO: SEC RULES COMMITTEE No. 5-13 RE: NOTICE OF SEC RULES COMMITTEE MEETING AND VIDEOCONFERENCE ON FEBRUARY 27, 2013; PLEASE RESPOND BY FEBRUARY 15TH   The next meeting of the SEC Rules Committee has been scheduled for Wednesday, February 27, 2013, at the...