SEC Rules Content

[26862] January 11, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 2-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 3-13 BROKER/DEALER ADVISORY COMMITTEE No. 3-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 2-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 1-13 OPERATIONS COMMITTEE...

[26840] January 7, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-13 ICI GLOBAL SECURITIES LENDING & REPO TASK FORCE No. 1-13 INTERNATIONAL COMMITTEE No. 1-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 1-13 SEC RULES COMMITTEE No. 3-13 RE: DRAFT ICI LETTER IN RESPONSE TO FSB...

[26814] January 3, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 2-13 SEC RULES COMMITTEE No. 2-13 RE: DRAFT ICI LETTER ON CFTC’S PROPOSAL TO ENHANCE PROTECTIONS AFFORDED CUSTOMERS AND CUSTOMER FUNDS HELD BY FUTURES COMMISSION...

[26811] January 2, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 1-13 SEC RULES COMMITTEE No. 1-13 RE: DRAFT ICI LETTER ON SEC’S PROPOSAL ON CAPITAL, MARGIN, AND SEGREGATION REQUIREMENTS FOR SECURITY-BASED SWAP DEALERS AND MAJOR...

  [26746] December 10, 2012 TO: ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 43-12 ETF ADVISORY COMMITTEE No. 49-12 ICI GLOBAL EXCHANGE TRADED FUNDS COMMITTEE No. 4-12 INVESTMENT COMPANY DIRECTORS No. 11-12 SEC RULES COMMITTEE No. 80-12 RE: ETF MORATORIUM UPDATE   In a speech last...

[26738] December 3, 2012 TO: ICI GLOBAL STEERING COMMITTEE No. 12-12 ICI GLOBAL EXCHANGE TRADED FUNDS COMMITTEE No. 3-12 SEC RULES COMMITTEE No. 79-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 42-12 ETF ADVISORY COMMITTEE No. 48-12 INTERNATIONAL COMMITTEE No. 48-12 ICI GLOBAL MEMBERS...

[26729] November 28, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 48-12 ICI GLOBAL SECURITIES LENDING & REPO TASK FORCE No. 4-12 INTERNATIONAL COMMITTEE No. 47-12 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 60-12 SEC RULES COMMITTEE No. 78-12 RE: ICI CALL ON DEC. 5TH FROM 1-2 P...

[26724] November 27, 2012 TO: SEC RULES COMMITTEE No. 77-12 RE: 2013 SEC RULES COMMITTEE MEETING SCHEDULE - CHANGE OF DATE   As 2012 draws to a close, I wanted to provide you with the dates for the 2013 SEC Rules Committee meetings and ask that you please reserve them on your calendar...

[26711] November 21, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 47-12 ICI GLOBAL SECURITIES LENDING & REPO TASK FORCE No. 3-12 INTERNATIONAL COMMITTEE No. 44-12 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 57-12 SEC RULES COMMITTEE No. 76-12 RE: FSB REQUESTS COMMENT ON THEIR...

[26709] November 21, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 46-12 EQUITY MARKETS ADVISORY COMMITTEE No. 36-12 FIXED-INCOME ADVISORY COMMITTEE No. 28-12 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 56-12 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 50-12 SEC RULES COMMITTEE...