SEC Rules Content

[25290] June 20, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 23-11 ETF ADVISORY COMMITTEE No. 41-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 22-11 EQUITY MARKETS ADVISORY COMMITTEE No. 37-11 SEC RULES COMMITTEE No. 63-11 RE...

  [25273] June 13, 2011 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 32-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 18-11 SEC RULES COMMITTEE No. 61-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 18-11 RE: REMINDER - JUNE 15 EQUITY MARKETS ADVISORY COMMITTEE MEETING - FINAL AGENDA...

[25266] June 9, 2011 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 17-11 EQUITY MARKETS ADVISORY COMMITTEE No. 31-11 FIXED-INCOME ADVISORY COMMITTEE No. 46-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 38-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 31-11 SEC RULES COMMITTEE No. 60...

  [25261] June 8, 2011 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 16-11 EQUITY MARKETS ADVISORY COMMITTEE No. 30-11 FIXED-INCOME ADVISORY COMMITTEE No. 45-11 SEC RULES COMMITTEE No. 59-11 RE: REMINDER -- DERIVATIVES MARKETS ADVISORY COMMITTEE MEETING JUNE 15; DRAFT AGENDA ATTACHED...

[25253] June 6, 2011 TO: COMPLIANCE MEMBERS No. 26-11 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-11 RISK MANAGEMENT ADVISORY COMMITTEE No. 4-11 RISK MANAGEMENT COMMITTEE No. 7-11 SEC RULES COMMITTEE No. 58-11 SMALL FUNDS MEMBERS No. 37-11 RE: SEC ADOPTS WHISTLEBLOWER RULES...

  [25247] June 2, 2011 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 28-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 14-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 16-11 SEC RULES COMMITTEE No. 57-11 RE: REMINDER - JUNE 15 EQUITY MARKETS ADVISORY COMMITTEE MEETING - AMENDED AGENDA...

  [25245] June 1, 2011 TO: SEC RULES COMMITTEE No. 56-11 RE: DRAFT AGENDA FOR JUNE 16 SEC RULES COMMITTEE MEETING   As we previously informed you, the next meeting of the SEC Rules Committee has been scheduled for Thursday, June 16th. I am pleased to announce that Dan Steiner, General...

[25225] May 25, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-11 SEC RULES COMMITTEE No. 55-11 SMALL FUNDS COMMITTEE No. 21-11 RE: DRAFT ICI COMMENT LETTER ON PROPOSED AMENDMENTS TO FINRA’S CASH COMPENSATION AND REVENUE SHARING DISCLOSURE RULES   As you know, FINRA has...

  [25208] May 20, 2011 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 13-11 EQUITY MARKETS ADVISORY COMMITTEE No. 27-11 FIXED-INCOME ADVISORY COMMITTEE No. 41-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 33-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 28-11 SEC RULES COMMITTEE No...

  [25200] May 19, 2011 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 24-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 15-11 ETF ADVISORY COMMITTEE No. 34-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 29-11 SEC RULES COMMITTEE No. 51-11 DERIVATIVES MARKETS ADVISORY COMMITTEE RE: SEC SHORT...