SEC Rules Content

[26049] April 17, 2012 TO: ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 8-12 ETF ADVISORY COMMITTEE No. 8-12 INTERNATIONAL COMMITTEE No. 13-12 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 24-12 SEC RULES COMMITTEE No. 23-12 RE: EUROPEAN COMMISSION ISSUES GREEN PAPER ON SHADOW BANKING   The...

[26042] April 16, 2012 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 22-12 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 13-12 SEC RULES COMMITTEE No. 22-12 RE: OCC PROPOSES TO REVISE REQUIREMENTS ON SHORT-TERM INVESTMENT FUNDS   The Office of the Comptroller of the Currency, Treasury (...

[26021] April 5, 2012 TO: PENSION COMMITTEE No. 10-12 PENSION OPERATIONS ADVISORY COMMITTEE No. 10-12 SEC RULES COMMITTEE No. 21-12 SMALL FUNDS COMMITTEE No. 10-12 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 11-12 529 PLAN ADVISORY COMMITTEE No. 2-12 RE: SEC RE-OPENS COMMENT PERIOD...

[25998] March 26, 2012 TO: SEC RULES COMMITTEE No. 20-12 RE: ICI COMMENT LETTER IN RESPONSE TO SEC COMMENT REQUEST FOR STUDY REGARDING FINANCIAL LITERACY AMONG INVESTORS   As we previously informed you, [1] the SEC has requested public comment on issues pertaining to financial...

  [25985] March 15, 2012 TO: ACCOUNTING/TREASURERS MEMBERS No. 7-12 SEC RULES COMMITTEE No. 19-12 RE: SEC DELAYS TRANSITION TO NEW N-SAR FILING PROCESS TO JULY 9   As we previously informed you, the SEC announced that it is modernizing the submission of Form N-SAR. [1] The SEC...

[25979] March 13, 2012 TO: ACCOUNTING/TREASURERS COMMITTEE No. 7-12 CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-12 END OF DAY PRICING FORUM No. 3-12 SEC RULES COMMITTEE No. 18-12 SMALL FUNDS COMMITTEE No. 8-12 RE: SEC STAFF INQUIRY ON LEVEL 2 SECURITY VALUATION PROCESS   We understand...

[25970] March 8, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-12 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 16-12 SEC RULES COMMITTEE No. 17-12 RE: DEVELOPMENTS RELATING TO RECENT REGULATORY PROPOSALS APPLICABLE TO "SIFIS" AND LARGE BANK HOLDING COMPANIES Earlier this year...

  [25968] March 7, 2012 TO: SEC RULES COMMITTEE No. 16-12 RE: ICI DRAFT LETTER IN RESPONSE TO SEC COMMENT REQUEST FOR STUDY REGARDING FINANCIAL LITERACY AMONG INVESTORS; MEMBER COMMENTS REQUESTED BY MARCH 15   As we previously informed you, [1] the SEC has requested public comment on...

  [25961] March 5, 2012 TO: OPERATIONS COMMITTEE No. 7-12 SEC RULES COMMITTEE No. 15-12 SMALL FUNDS COMMITTEE No. 6-12 TRANSFER AGENT ADVISORY COMMITTEE No. 15-12 RE: SEC PROPOSES FOR COMMENT "RED FLAG" RULES AS REQUIRED BY THE DODD-FRANK ACT; ICI REQUESTS COMMENTS BY MONDAY, APRIL...

[25940] February 28, 2012 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 10-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-12 SEC RULES COMMITTEE No. 14-12 RE: CFTC ISSUES REPROPOSAL ON BLOCK TRADES   The Commodity Futures Trading Commission (“CFTC”) has re-proposed rules specifying...