SEC Rules Content

[26301] July 16, 2012 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 32-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 22-12 SEC RULES COMMITTEE No. 44-12 RE: ICI DRAFT COMMENT LETTER ON CFTC’S PROPOSED RULES PROHIBITING AGGREGATION OF ORDERS TO SATISFY MINIMUM BLOCK SIZES OR CAP SIZE...

[26289] July 12, 2012 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 29-12 SEC RULES COMMITTEE No. 42-12 RE: AGENDA FOR DERIVATIVES MARKETS ADVISORY COMMITTEE MEETING JULY 17   The next meeting of the Derivatives Markets Advisory Committee has been scheduled for Tuesday, July 17, 2012...

[26291] July 12, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 21-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 30-12 INTERNATIONAL COMMITTEE No. 22-12 SEC RULES COMMITTEE No. 43-12 RE: CFTC PROPOSES INTERPRETIVE GUIDANCE ON THE CROSS-BORDER APPLICATION OF CERTAIN SWAPS...

  [26269] June 27, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 25-12 SEC RULES COMMITTEE No. 41-12 RE: CFTC PROPOSES RULES PROHIBITING AGGREGATION OF ORDERS FOR MINIMUM BLOCK SIZES AND CAP SIZE REQUIREMENTS   On June 27, 2012...

[26261] June 25, 2012 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 24-12 SEC RULES COMMITTEE No. 40-12 RE: DRAFT AGENDA FOR DERIVATIVES MARKETS ADVISORY COMMITTEE MEETING JULY 17   The next meeting of the Derivatives Markets Advisory Committee has been scheduled for Tuesday, July 17...

[26239] June 14, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 22-12 SEC RULES COMMITTEE No. 39-12 RE: SEC STATEMENT ON SEQUENCING OF COMPLIANCE DATES FOR FINAL RULES FOR SECURITY-BASED SWAPS   The Securities and Exchange...

[26237] June 13, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-12 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 42-12 SEC RULES COMMITTEE No. 38-12 RE: REGULATORS SEEK COMMENT ON "SIFI" ASSESSMENTS AND HEARING PROCEDURES, ADOPT FINAL ASSESSMENT SCHEDULE FOR LARGE BHCS   The...

[26234] June 12, 2012 TO: ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 18-12 ETF ADVISORY COMMITTEE No. 16-12 INTERNATIONAL MEMBERS No. 23-12 ICI GLOBAL MEMBERS MONEY MARKET FUNDS ADVISORY COMMITTEE No. 41-12 SEC RULES COMMITTEE No. 37-12 RE: INSTITUTE LETTER ON EUROPEAN COMMISSON'S...

[26219] June 6, 2012 TO: INTERNATIONAL COMMITTEE No. 17-12 SEC RULES COMMITTEE No. 36-12 RE: IOSCO CONSULTS ON LIQUIDITY RISK MANAGEMENT FOR COLLECTIVE INVESTMENT SCHEMES   On April 26, 2012, the Technical Committee of the International Organization of Securities Commissions (“IOSCO”)...

  [26214] June 4, 2012 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 38-12 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 23-12 SEC RULES COMMITTEE No. 35-12 RE: ICI DRAFT LETTER TO OCC REGARDING PROPOSAL TO REVISE REQUIREMENTS FOR SHORT-TERM INVESTMENT FUNDS   As you know, the Office of...