SEC Rules Content

  [24939] February 3, 2011 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 9-11 BROKER/DEALER ADVISORY COMMITTEE No. 8-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-11 ETF ADVISORY COMMITTEE No. 12-11 EQUITY MARKETS ADVISORY COMMITTEE No. 11-11 FIXED-INCOME ADVISORY...

  [24936] February 2, 2011 TO: SEC RULES COMMITTEE No. 11-11 FIXED-INCOME ADVISORY COMMITTEE No. 16-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 9-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-11 RE: FDIC ADOPTS INTERIM FINAL RULE IMPLEMENTING CERTAIN ORDERLY LIQUIDATION AUTHORITY...

  [24931] February 2, 2011 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 16-11 DERIVATIVES MARKETS ADVISORY COMMITTEE ETF ADVISORY COMMITTEE No. 11-11 EQUITY MARKETS ADVISORY COMMITTEE No. 10-11 FIXED-INCOME ADVISORY COMMITTEE No. 15-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 9-11...

  [24933] February 2, 2011 TO: FIXED-INCOME ADVISORY COMMITTEE No. 13-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 6-11 SEC RULES COMMITTEE No. 9-11 RE: ICI COMMENT LETTER ON PROPOSAL TO PERMIT LIMITED SUSPENSION OF REPORTING DUTY FOR ASSET-BACKED SECURITIES ISSUERS   The Institute...

  [24901] January 21, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 4-11 SEC RULES COMMITTEE No. 8-11 RE: FSOC PROPOSAL REGARDING DESIGNATION OF NON-BANK FIRMS FOR HEIGHTENED SUPERVISION; CONFERENCE CALL ON JANUARY 27   On January...

  [24893] January 20, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 3-11 ETF ADVISORY COMMITTEE No. 7-11 EQUITY MARKETS ADVISORY COMMITTEE No. 7-11 FIXED-INCOME ADVISORY COMMITTEE No. 8-11 INTERNATIONAL COMMITTEE No. 3-11...

[24884] January 18, 2011 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 5-11 INTERNATIONAL COMMITTEE No. 2-11 INTERNATIONAL INVESTING SUBCOMMITTEE No. 2-11 SEC RULES COMMITTEE No. 6-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 2-11 ETF ADVISORY COMMITTEE No. 5-11 CLOSED-END INVESTMENT...

[24871] January 12, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-11 INVESTMENT ADVISERS COMMITTEE No. 1-11 SEC RULES COMMITTEE No. 5-11 SMALL FUNDS COMMITTEE No. 4-11 RE: DRAFT ICI LETTER ON PROPOSED CHANGES TO FORM ADV AND AMENDMENTS TO “PAY-TO-PLAY” RULE   As you know, the...

  [24869] January 12, 2011 TO: FIXED-INCOME ADVISORY COMMITTEE No. 4-11 SEC RULES COMMITTEE No. 4-11 RE: SEC PROPOSES LIMITED SUSPENSION OF REPORTING DUTY FOR ASSET-BACKED SECURITIES ISSUERS   The Securities and Exchange Commission recently proposed rules, pursuant to Section 942(a)...

[24866] January 11, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-11 FIXED-INCOME ADVISORY COMMITTEE No. 2-11 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 2-11 SEC RULES COMMITTEE No. 3-11 RE: DRAFT LETTER REGARDING FDIC RULEMAKING ON ORDERLY LIQUIDATION PROCESS; COMMENTS...