SEC Rules Content

[25430] August 22, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 41-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 33-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 39-11 ETF ADVISORY COMMITTEE No. 60-11 EQUITY MARKETS ADVISORY COMMITTEE No. 56-11 SEC RULES COMMITTEE No. 72-11 RE...

[25405] August 11, 2011 TO: SEC RULES COMMITTEE No. 71-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 41-11 FIXED-INCOME ADVISORY COMMITTEE No. 62-11 RE: SEC RE-PROPOSES ABS SHELF ELIGIBILITY AND DISCLOSURE REQUIREMENTS; CALL SCHEDULED FOR AUGUST 22   The Securities and Exchange...

  [25403] August 11, 2011 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 32-11 EQUITY MARKETS ADVISORY COMMITTEE No. 52-11 FIXED-INCOME ADVISORY COMMITTEE No. 61-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 50-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 40-11 SEC RULES COMMITTEE No...

  URGENT/ACTION REQUESTED [25394] August 9, 2011 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 8-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 39-11 SEC RULES COMMITTEE No. 68-11 RE: DRAFT INSTITUTE COMMENT LETTER ON FINRA'S PROPOSED AMENDMENTS TO ADVERTISING RULES; YOUR COMMENTS...

[25397] August 9, 2011 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 51-11 INTERNATIONAL COMMITTEE No. 20-11 INTERNATIONAL INVESTING SUBCOMMITTEE No. 12-11 SEC RULES COMMITTEE No. 69-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 35-11 ETF ADVISORY COMMITTEE No. 56-11 CLOSED-END INVESTMENT...

[25395] August 9, 2011 TO: SEC RULES COMMITTEE No. 67-11 INTERNATIONAL COMMITTEE No. 19-11 RE: FINAL TIC SLT FORM AND INSTRUCTIONS APPROVED The final TIC SLT form and instructions have been approved by the Office of Management and Budget, and are available at http://www.treasury.gov...

  [25376] August 3, 2011 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 30-11 EQUITY MARKETS ADVISORY COMMITTEE No. 49-11 FIXED-INCOME ADVISORY COMMITTEE No. 58-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 48-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 39-11 SEC RULES COMMITTEE No...

  URGENT/ACTION REQUESTED [25348] July 22, 2011 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 5-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 37-11 SEC RULES COMMITTEE No. 65-11 RE: FINRA FILES WITH SEC PROPOSED AMENDMENTS TO ADVERTISING RULES; JULY 27TH CONFERENCE CALL   The...

[25340] July 18, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 27-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 30-11 ETF ADVISORY COMMITTEE No. 47-11 EQUITY MARKETS ADVISORY COMMITTEE No. 44-11 FIXED-INCOME ADVISORY COMMITTEE No...

[25289] June 20, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 22-11 ETF ADVISORY COMMITTEE No. 40-11 EQUITY MARKETS ADVISORY COMMITTEE No. 36-11 SEC RULES COMMITTEE No. 62-11 RE: DRAFT ICI LETTER ON “LIMIT UP-LIMIT DOWN” PROPOSAL...