SEC Rules Content

[25921] February 17, 2012 TO: INTERNATIONAL COMMITTEE No. 5-12 SEC RULES COMMITTEE No. 13-12 RE: IOSCO CONSULTS ON FUND VALUATION   On February 16, 2012, the Technical Committee of the International Organization of Securities Commissions (“IOSCO”) published a consultation report...

  [25888] February 10, 2012 TO: SEC RULES COMMITTEE No. 12-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 7-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-12 ETF ADVISORY COMMITTEE No. 3-12 CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-12 SMALL FUNDS COMMITTEE No. 4-12 RE: CFTC ADOPTS...

  [25877] February 8, 2012 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 9-12 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 5-12 SEC RULES COMMITTEE No. 11-12 RE: ICI SUBMITS INFORMATION TO IOSCO ON MONEY MARKET FUND REFORM   Yesterday, ICI submitted information to the International...

[25874] February 7, 2012 TO: SEC RULES COMMITTEE No. 10-12 RE: DRAFT AGENDA FOR FEBRUARY 16 SEC RULES COMMITTEE MEETING   The first SEC Rules Committee meeting of 2012 has been scheduled for Thursday, February 16th.  The meeting will take place at the Investment Company Institute...

URGENT/ACTION REQUESTED [25870] February 6, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 6-12 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 2-12 ETF ADVISORY COMMITTEE No. 2-12 EQUITY MARKETS ADVISORY COMMITTEE No. 3-12 FIXED-INCOME...

  [25849] January 27, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-12 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 6-12 SEC RULES COMMITTEE No. 8-12 RE: REGULATORS PROPOSE ENHANCED PRUDENTIAL STANDARDS FOR “SIFIs” AND LARGE BANK HOLDING COMPANIES, ASSESSMENTS TO COVER OFFICE OF...

[25832] January 25, 2012 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 5-12 SEC RULES COMMITTEE No. 7-12 RE: ICI PUBLISHES REPORT SUMMARIZING TAXABLE MONEY MARKET FUND PORTFOLIO INFORMATION   The Investment Company Institute has posted a report summarizing taxable money market fund...

[25817] January 19, 2012 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 5-12 PENSION MEMBERS No. 4-12 SEC RULES COMMITTEE No. 6-12 RE: FINRA NOTICE REGARDING THE APPLICABILITY OF RULES 2210 AND 2211 TO DOL RULE 404A-5 DISCLOSURE DOCUMENTS   FINRA recently issued a notice stating...

[25812] January 19, 2012 TO: SEC RULES COMMITTEE No. 5-12 RE: SEC SEEKS INPUT FOR STUDY REGARDING FINANCIAL LITERACY AMONG INVESTORS; ICI REQUESTS MEMBER INPUT BY FRIDAY, FEB. 3RD   Section 917 of the Dodd-Frank Act (the “Act”) requires the Securities and Exchange Commission to...

[25803] January 18, 2012 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 3-12 FIXED-INCOME ADVISORY COMMITTEE No. 2-12 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 2-12 SEC RULES COMMITTEE No. 4-12 RE: GAO ISSUES REPORT ON MUNICIPAL SECURITIES   Yesterday, the Government Accountability...