SEC Rules Content

[26705] November 20, 2012 TO: ICI GLOBAL STEERING COMMITTEE No. 11-12 ICI GLOBAL EXCHANGE TRADED FUNDS COMMITTEE No. 2-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 41-12 ETF ADVISORY COMMITTEE No. 46-12 INTERNATIONAL COMMITTEE No. 43-12 SEC RULES COMMITTEE No. 74-12 RE: DRAFT ICI AND...

  [26691] November 16, 2012 TO: ACCOUNTING/TREASURERS COMMITTEE No. 17-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 55-12 BROKER/DEALER ADVISORY COMMITTEE No. 61-12 INDEPENDENT DIRECTORS COUNCIL No. 1-12 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 55-12 MUNICIPAL SECURITIES...

ACTION REQUESTED [26689] November 15, 2012 TO: PENSION COMMITTEE No. 31-12 PENSION OPERATIONS ADVISORY COMMITTEE No. 29-12 SEC RULES COMMITTEE No. 72-12 SMALL FUNDS COMMITTEE No. 28-12 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 22-12 RE: ICI SURVEY -- TDF DISCLOSURES IN SUMMARY...

[26686] November 14, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 45-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 64-12 SEC RULES COMMITTEE No. 71-12 RE: CONFERENCE CALL ON MONDAY, DECEMBER 10 TO DISCUSS CFTC'S PROPOSAL TO ENHANCE PROTECTIONS AFFORDED CUSTOMERS AND CUSTOMER...

[26645] November 5, 2012 TO: SEC RULES COMMITTEE No. 70-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 42-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 63-12 ETF ADVISORY COMMITTEE No. 44-12 COMPLIANCE ADVISORY COMMITTEE No. 4-12 SMALL FUNDS COMMITTEE No. 26-12 VARIABLE INSURANCE...

  [26644] November 5, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 41-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 62-12 SEC RULES COMMITTEE No. 69-12 RE: DRAFT ICI COMMENT LETTER IN RESPONSE TO REOPENING OF COMMENT PERIOD BY BANKING REGULATORS ON PROPOSED MARGIN REQUIREMENTS...

  [26636]   November 1, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 40-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 61-12 SEC RULES COMMITTEE No. 68-12 RE: CFTC PROPOSES RULES TO ENHANCE PROTECTIONS AFFORDED CUSTOMERS AND CUSTOMER FUNDS HELD BY FUTURES COMMISSION MERCHANTS...

  [26611] October 25, 2012 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 32-12 SEC RULES COMMITTEE No. 66-12 RE: REMINDER - NOVEMBER 1 EQUITY MARKETS ADVISORY COMMITTEE MEETING; FINAL AGENDA ATTACHED   In conjunction with ICI’s Capital Markets Conference to be held next week, on November...

  [26616] October 25, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 39-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 58-12 SEC RULES COMMITTEE No. 67-12 RE: SEC PROPOSES CAPITAL, MARGIN, AND SEGREGATION REQUIREMENTS FOR SECURITY-BASED SWAP DEALERS AND MAJOR SECURITY-BASED SWAP...

[26601] October 23, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 37-12 ETF ADVISORY COMMITTEE No. 40-12 SEC RULES COMMITTEE No. 65-12 RE: DRAFT ICI COMMENT LETTERS IN RESPONSE TO PROPOSED RULE CHANGES BY THE NYSE AND NASDAQ TO MODIFY LISTING RULES FOR COMPENSATION COMMITTEES...