SEC Rules Content

[25794] January 12, 2012 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 2-12 SEC RULES COMMITTEE No. 3-12 RE: REMINDER - DERIVATIVES MARKETS ADVISORY COMMITTEE MEETING JANUARY 26; DRAFT AGENDA ATTACHED   The next meeting of the Derivatives Markets Advisory Committee will be held on...

  [25783] January 10, 2012 TO: SEC RULES COMMITTEE No. 2-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 1-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-12 RE: ICI DRAFT LETTER ON CFTC PROPOSAL FOR MAKING A SWAP "AVAILABLE TO TRADE" - COMMENTS REQUESTED BY JANUARY 24   The Commodity...

[25774] January 6, 2012 TO: SEC RULES COMMITTEE No. 1-12 RE: NOTICE OF SEC RULES COMMITTEE MEETING AND VIDEOCONFERENCE OPTIONS – FEBRUARY 16, 2012; PLEASE RESPOND BY FEBRUARY 1ST   A meeting of the SEC Rules Committee has been scheduled for Thursday, February 16, 2012, at the offices...

[25749] December 27, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 56-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 52-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 51-11 ETF ADVISORY COMMITTEE No. 71-11 EQUITY MARKETS ADVISORY COMMITTEE No. 68-11 FIXED-INCOME ADVISORY COMMITTEE...

URGENT/ACTION REQUESTED [25741] December 23, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 55-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 51-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 50-11 ETF ADVISORY COMMITTEE No. 70-11 EQUITY MARKETS ADVISORY COMMITTEE No. 67-11 FIXED...

[25734] December 21, 2011 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 50-11 SEC RULES COMMITTEE No. 107-11 RE: SAVE THE DATE:  DERIVATIVES MARKETS ADVISORY COMMITTEE MEETING JANUARY 26; DRAFT AGENDA ATTACHED   The next meeting of the Derivatives Markets Advisory Committee has been...

[25722] December 16, 2011 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 49-11 SEC RULES COMMITTEE No. 106-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 54-11 RE: CFTC PROPOSES PROCESS FOR MAKING A SWAP “AVAILABLE TO TRADE;” CALL SCHEDULED FOR JANUARY 4   The Commodity Futures...

[25704] December 9, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 53-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 65-11 SEC RULES COMMITTEE No. 105-11 RE: DRAFT LETTER ON FSOC PROPOSAL REGARDING "SIFI" DESIGNATIONS; COMMENTS DUE TO ICI BY DECEMBER 15   As we previously informed...

[25687] December 2, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 52-11 FIXED-INCOME ADVISORY COMMITTEE No. 79-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 57-11 SEC RULES COMMITTEE No. 104-11 RE: DRAFT LETTER ON PROPOSAL PROHIBITING ABS CONFLICTS OF INTEREST; COMMENTS...

  URGENT/ACTION REQUESTED [25684] November 30, 2011 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 16-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 51-11 SEC RULES COMMITTEE No. 103-11 RE: INSTITUTE DRAFT COMMENT LETTER ON FINRA'S PROPOSED AMENDMENTS TO ADVERTISING RULES; YOUR...