SEC Rules Content

  [25036] March 21, 2011 TO: SEC RULES COMMITTEE No. 22-11 INTERNATIONAL COMMITTEE No. 5-11 RE: NEW TIC SLT REPORTING REQUIREMENT AND NOTICE OF TIC SLT TRAINING SEMINAR   In August 2010 the Board of Governors of the Federal Reserve System, on behalf of the U.S. Department of Treasury...

[25008] March 7, 2011 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 14-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 14-11 SEC RULES COMMITTEE No. 21-11 RE: SEC PROPOSES TO REMOVE CREDIT RATING REFERENCES FROM RULES 2a-7 AND 5b-3; CONFERENCE CALL SCHEDULED FOR MARCH 17 AT 3:00 PM...

  [25004] March 4, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-11 RISK MANAGEMENT COMMITTEE No. 3-11 SEC RULES COMMITTEE No. 20-11 RE: SEC PROPOSES RULES ON INCENTIVE-BASED COMPENSATION ARRANGEMENTS; CONFERENCE CALL ON FRIDAY...

  [25002] March 3, 2011 TO: SEC RULES COMMITTEE No. 19-11 FIXED-INCOME ADVISORY COMMITTEE No. 26-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 13-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-11 RE: DRAFT ICI COMMENT LETTER ON FDIC INTERIM FINAL RULE IMPLEMENTING CERTAIN ORDERLY...

[24983] February 22, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 11-11 SEC RULES COMMITTEE No. 18-11 RE: DRAFT ICI LETTER ON FSOC PROPOSAL REGARDING DESIGNATION OF NONBANK FIRMS FOR HEIGHTENED SUPERVISION; RESPOND BY 2/24   As...

  [24976] February 18, 2011 TO: 529 PLAN ADVISORY COMMITTEE No. 2-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 13-11 BROKER/DEALER ADVISORY COMMITTEE No. 11-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-11 COMPLIANCE ADVISORY COMMITTEE No. 3-11 FIXED-INCOME ADVISORY...

[24970] February 17, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-11 DERIVATIVES MARKETS ADVISORY COMMITTEE ETF ADVISORY COMMITTEE No. 18-11 EQUITY MARKETS ADVISORY COMMITTEE No. 16-11 FIXED-INCOME ADVISORY COMMITTEE No. 22-11 SEC RULES COMMITTEE No. 16-11 SMALL FUNDS...

[24951] February 8, 2011 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 20-11 DERIVATIVES MARKETS ADVISORY COMMITTEE ETF ADVISORY COMMITTEE No. 15-11 EQUITY MARKETS ADVISORY COMMITTEE No. 13-11 FIXED-INCOME ADVISORY COMMITTEE No. 19-11 SEC RULES COMMITTEE No. 15-11 RE: ICI LETTER ON...

  [24944] February 4, 2011 TO: SEC RULES COMMITTEE No. 13-11 RE: DRAFT AGENDA FOR FEBRUARY 17 SEC RULES COMMITTEE MEETING   As we previously informed you, the next meeting of the SEC Rules Committee has been scheduled for Thursday, February 17th.  Jennifer McHugh, currently the Acting...

[24947] February 4, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-11 ETF ADVISORY COMMITTEE No. 14-11 SEC RULES COMMITTEE No. 14-11 SMALL FUNDS COMMITTEE No. 8-11 RE: CFTC PROPOSES TO NARROW RULE 4.5 EXCLUSION FOR REGISTERED INVESTMENT COMPANIES; CONFERENCE CALL ON FEBRUARY...