SEC Rules Content

[25668] November 29, 2011 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 66-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 49-11 SEC RULES COMMITTEE No. 102-11 RE: REMINDER - DECEMBER 5 EQUITY MARKETS ADVISORY COMMITTEE MEETING   In conjunction with ICI’s Equity Markets Conference to be held...

  [25656] November 22, 2011 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 64-11 SEC RULES COMMITTEE No. 101-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 48-11 RE: REMINDER - DECEMBER 5 EQUITY MARKETS ADVISORY COMMITTEE MEETING   In conjunction with ICI’s Equity Markets Conference to be...

  [25638] November 14, 2011 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 63-11 SEC RULES COMMITTEE No. 100-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 47-11 RE: DRAFT AGENDA FOR DECEMBER 5 EQUITY MARKETS ADVISORY COMMITTEE MEETING   In conjunction with ICI’s Equity Markets Conference to...

  [25630] November 8, 2011 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 60-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 55-11 SEC RULES COMMITTEE No. 99-11 RE: SEC AND CFTC ADOPT PRIVATE FUND REPORTING REQUIREMENTS   The Securities and Exchange Commission and the Commodity Futures...

  [25619] November 7, 2011 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 45-11 SEC RULES COMMITTEE No. 97-11 RE: ICI FILES COMMENT LETTER ON CFTC SWAP IMPLEMENTATION SCHEDULES   On November 4, 2011, ICI filed a comment letter on the Commodity Futures Trading Commission’s (the...

URGENT/ACTION REQUESTED [25621] November 7, 2011 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 14-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 49-11 SEC RULES COMMITTEE No. 98-11 RE: SEC PUBLISHES ADDITIONAL PROPOSED AMENDMENTS TO FINRA ADVERTISING RULES; NOVEMBER 15TH...

[25610] November 3, 2011 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 44-11 SEC RULES COMMITTEE No. 96-11 RE: CFTC ISSUES FINAL RULE ON POSITION LIMITS   The Commodity Futures Trading Commission (“Commission” or “CFTC”) recently adopted a rule regarding position limits for futures...

  [25608] November 2, 2011 TO: SEC RULES COMMITTEE No. 95-11 RE: 2012 SEC RULES COMMITTEE SCHEDULE   As 2011 draws to a close, I wanted to request that you save the dates on your calendars for the 2012 SEC Rules Committee meetings. As in the past, we will provide videoconference...

  [25605] November 2, 2011 TO: INTERNATIONAL COMMITTEE No. 25-11 INTERNATIONAL INVESTING SUBCOMMITTEE No. 17-11 SEC RULES COMMITTEE No. 94-11 TRANSFER AGENT ADVISORY COMMITTEE No. 91-11 RE: NOTICE REGARDING QUINQUENNIAL REPORT OF U.S. OWNERSHIP OF FOREIGN SECURITIES AS OF DECEMBER 31...

  [25602] October 31, 2011 TO: SEC RULES COMMITTEE No. 93-11 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 12-11 PENSION MEMBERS No. 59-11 RE: SEC STAFF GUIDANCE REGARDING THE APPLICABILITY OF SEC RULE 482 TO DOL RULE 404a-5 DISCLOSURE DOCUMENTS   The staff of the Securities and...