SEC Rules Content

[25207] May 19, 2011 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE EQUITY MARKETS ADVISORY COMMITTEE No. 26-11 FIXED-INCOME ADVISORY COMMITTEE No. 40-11 SEC RULES COMMITTEE No. 53-11 RE: REMINDER -- DERIVATIVES MARKETS ADVISORY COMMITTEE MEETING JUNE 15; DRAFT AGENDA ATTACHED   The...

  [25201] May 19, 2011 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 25-11 DERIVATIVES MARKETS ADVISORY COMMITTEE SEC RULES COMMITTEE No. 52-11 RE: REMINDER - JUNE 15 EQUITY MARKETS ADVISORY COMMITTEE MEETING - DRAFT AGENDA ATTACHED   The next meeting of the Equity Markets Advisory...

[25199] May 18, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-11 RISK MANAGEMENT COMMITTEE No. 5-11 SEC RULES COMMITTEE No. 50-11 RE: DRAFT LETTER ON PROPOSED RULES ON INCENTIVE-BASED COMPENSATION ARRANGEMENTS; COMMENTS REQUESTED...

[25193] May 17, 2011 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 32-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 27-11 SEC RULES COMMITTEE No. 48-11 RE: ICI COMMENT LETTER ON FEDERAL RESERVE BOARD PROPOSAL TO REPEAL REGULATON Q   The Investment Company Institute filed a letter...

[25191] May 17, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 26-11 BROKER/DEALER ADVISORY COMMITTEE No. 25-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-11 ETF ADVISORY COMMITTEE No. 33-11 EQUITY MARKETS ADVISORY COMMITTEE No. 23-11 FIXED-INCOME ADVISORY COMMITTEE...

  [25186] May 13, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 26-11 FIXED-INCOME ADVISORY COMMITTEE No. 38-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 31-11 SEC RULES COMMITTEE No. 47-11 RE: DRAFT COMMENT LETTER ON FDIC PROPOSAL REGARDING ORDERLY LIQUIDATION AUTHORITY...

  [25184] May 12, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 25-11 SEC RULES COMMITTEE No. 46-11 SMALL FUNDS COMMITTEE No. 18-11 RE: FINRA SEEKS TO ADOPT AMENDMENTS TO CASH COMPENSATION AND REVENUE SHARING DISCLOSURE RULES...

  [25183] May 12, 2011 TO: INTERNATIONAL COMMITTEE No. 11-11 SEC RULES COMMITTEE No. 45-11 RE: TIC SLT REPORTING COMPLIANCE DATE PUSHED BACK TO SEPTEMBER 30, 2011   The U.S. Department of the Treasury has announced that reporting on the new Treasury International Capital (TIC) SLT...

[25175] May 9, 2011 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 21-11 SEC RULES COMMITTEE No. 42-11 RE: SAVE THE DATE - JUNE 15 EQUITY MARKETS ADVISORY COMMITTEE MEETING   A meeting of the Equity Markets Advisory Committee has been scheduled for Wednesday, June 15, 2011, at the offices...

[25177] May 9, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-11 DERIVATIVES MARKETS ADVISORY COMMITTEE ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 13-11 ETF ADVISORY COMMITTEE No. 30-11 EQUITY MARKETS ADVISORY COMMITTEE No. 22-11 FIXED-INCOME ADVISORY COMMITTEE No. 37-11 SEC...