SEC Rules Content

[26500] September 13, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 49-12 INTERNATIONAL COMMITTEE No. 34-12 INVESTMENT ADVISER MEMBERS No. 29-12 SEC RULES COMMITTEE No. 54-12 RE: ICI COMMENT LETTER IN RESPONSE TO CFTC’S REOPENING...

[26424] September 4, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 29-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 46-12 INTERNATIONAL COMMITTEE No. 33-12 SEC RULES COMMITTEE No. 53-12 RE: DRAFT ICI COMMENT LETTER IN RESPONSE TO CFTC’S REOPENING OF COMMENT PERIOD ON PROPOSED...

[26419] August 29, 2012 TO: SEC RULES COMMITTEE No. 52-12 RE: NOTICE OF SEC RULES COMMITTEE MEETING AND DINNER ON OCTOBER 15 - 16, 2012   An in-person meeting of the SEC Rules Committee has been scheduled for Tuesday, October 16th with a dinner on October 15th.  The meeting will be...

[26398] August 14, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 44-12 ICI GLOBAL MEMBERS INTERNATIONAL COMMITTEE No. 30-12 SEC RULES COMMITTEE No. 51-12 RE: DRAFT ICI AND ICI GLOBAL COMMENT LETTER ON CFTC’S PROPOSED INTERPRETIVE...

[26391] August 10, 2012 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 42-12 INTERNATIONAL COMMITTEE No. 29-12 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 48-12 SEC RULES COMMITTEE No. 50-12 RE: UK TREASURY PUBLISHES INITIAL DISCUSSION PAPER ON LIBOR; REQUESTS COMMENT BY SEPTEMBER 7  ...

[26388] August 9, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 26-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 28-12 ETF ADVISORY COMMITTEE No. 29-12 EQUITY MARKETS ADVISORY COMMITTEE No. 17-12 SEC RULES COMMITTEE No. 49-12 RE: DRAFT ICI LETTER ON SEC ORDER RELATING TO...

[26362] August 2, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 25-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 40-12 SEC RULES COMMITTEE No. 48-12 RE: ICI DRAFT COMMENT LETTER ON SEC’S STATEMENT ON SEQUENCING OF COMPLIANCE DATES FOR FINAL RULES FOR SECURITY-BASED SWAPS...

[26325] July 23, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 36-12 INTERNATIONAL COMMITTEE No. 25-12 SEC RULES COMMITTEE No. 47-12 RE: BCBS AND IOSCO PROPOSE MARGIN REQUIREMENTS FOR UNCLEARED DERIVATIVES AND CFTC REOPENS...

[26312] July 18, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-12 COMPLIANCE ADVISORY COMMITTEE No. 2-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 34-12 ETF ADVISORY COMMITTEE No. 25-12 FIXED-INCOME ADVISORY COMMITTEE No. 17-12 INVESTMENT ADVISERS COMMITTEE No. 1-12 SEC...

[26304] July 16, 2012 TO: INTERNATIONAL COMMITTEE No. 23-12 SEC RULES COMMITTEE No. 45-12 RE: DRAFT ICI LETTER ON IOSCO LIQUIDITY RISK MANAGEMENT CONSULTATION As we previously informed you, on April 26, 2012, the Technical Committee of the International Organization of Securities...