SEC Rules Content

  [25593] October 28, 2011 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 42-11 SEC RULES COMMITTEE No. 91-11 RE: SEC PROPOSES RULES FOR REGISTRATION OF SECURITY-BASED SWAP ENTITIES; CALL SCHEDULED FOR NOVEMBER 10 The Securities and Exchange Commission (the “Commission”) recently...

[25598] October 28, 2011 TO: SEC RULES COMMITTEE No. 92-11 BROKER/DEALER ADVISORY COMMITTEE No. 70-11 COMPLIANCE MEMBERS No. 42-11 RE: SEC ORDERS FINRA TO CEASE AND DESIST FROM VIOLATING THE RECORDKEEPING REQUIREMENTS UNDER THE 1934 ACT   The Securities and Exchange Commission...

  [25586] October 26, 2011 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 61-11 SEC RULES COMMITTEE No. 90-11 RE: REMINDER - DECEMBER 5 EQUITY MARKETS ADVISORY COMMITTEE MEETING   In conjunction with ICI’s Equity Markets Conference to be held on December 6, 2011 in New York, the next...

[25577] October 24, 2011 TO: ACCOUNTING/TREASURERS COMMITTEE No. 16-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 48-11 CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-11 COMPLIANCE ADVISORY COMMITTEE No. 5-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 41-11 ETF (EXCHANGE-TRADED FUNDS)...

[25574] October 21, 2011 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 40-11 SEC RULES COMMITTEE No. 88-11 RE: DRAFT COMMENT LETTER ON PROPOSED CFTC SWAPS IMPLEMENTATION SCHEDULES; COMMENTS REQUESTED BY OCTOBER 27   The Commodity Futures Trading Commission (“CFTC”) recently proposed...

[25570] October 19, 2011 TO: FIXED-INCOME ADVISORY COMMITTEE No. 75-11 SEC RULES COMMITTEE No. 87-11 SMALL FUNDS COMMITTEE No. 41-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 47-11 RE: DRAFT COMMENT LETTER ON PROPOSED RULEMAKING ON TREATMENT OF ASSET-BACKED ISSUERS; COMMENTS...

[25553] October 12, 2011 TO: SEC RULES COMMITTEE No. 86-11 RE: DRAFT AGENDA FOR OCTOBER 26 - 27 SEC RULES COMMITTEE MEETING AND DINNER   As previously announced, an in-person meeting of the SEC Rules Committee is scheduled for Thursday, October 27th, with a dinner on Wednesday...

[25548] October 10, 2011 TO: SEC RULES COMMITTEE No. 85-11 FIXED-INCOME ADVISORY COMMITTEE No. 73-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 46-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 51-11 RE: SEC PROPOSES RULE PROHIBITING ABS CONFLICTS OF INTEREST; CALL SCHEDULED FOR...

[25538] October 5, 2011 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 59-11 SEC RULES COMMITTEE No. 84-11 RE: MARK YOUR CALENDAR - DECEMBER 5 EQUITY MARKETS ADVISORY COMMITTEE MEETING   In conjunction with ICI’s Equity Markets Conference to be held on December 6, 2011 in New York, the...

  URGENT/ACTION REQUESTED [25528] October 3, 2011 TO: SEC RULES COMMITTEE No. 83-11 RE: ICI DRAFT LETTER ON RETROSPECTIVE REVIEW OF SEC REGULATIONS; YOUR COMMENTS REQUESTED BY OCTOBER 5   Last month, the Securities and Exchange Commission (SEC) issued a request for information to...