SEC Rules Content

  [24847] January 10, 2011 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-11 ETF ADVISORY COMMITTEE No. 2-11 EQUITY MARKETS ADVISORY COMMITTEE No. 2-11 FIXED-INCOME ADVISORY COMMITTEE No. 1-11 SEC RULES COMMITTEE No. 2-11 SMALL FUNDS COMMITTEE No. 2-11 RE: DRAFT LETTER ON CFTC...

  [24830]   January 4, 2011   TO: SEC RULES COMMITTEE No. 1-11 RE: NOTICE OF SEC RULES COMMITTEE MEETING AND VIDEOCONFERENCE OPTIONS - FEBRUARY 17, 2011; PLEASE RESPOND BY FEBRUARY 1ST   A meeting of the SEC Rules Committee has been scheduled for Thursday, February 17th at the offices...

    [24821]   December 30, 2010   TO: FIXED-INCOME ADVISORY COMMITTEE No. 39-10 INVESTMENT ADVISERS COMMITTEE No. 3-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 56-10 SEC RULES COMMITTEE No. 71-10 RE: SEC ISSUES REGISTRATION REQUIREMENTS FOR MUNICIPAL ADVISORS   The Securities and...

  [24819]   December 29, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 31-10 FIXED-INCOME ADVISORY COMMITTEE No. 38-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 70-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 55-10 SEC RULES COMMITTEE No. 70-10 RE: SEC SEEKS COMMENT ON DODD...

    [24816]   December 28, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 30-10 ETF ADVISORY COMMITTEE No. 58-10 EQUITY MARKETS ADVISORY COMMITTEE No. 55-10 FIXED-INCOME ADVISORY COMMITTEE No. 37-10 SEC RULES COMMITTEE No. 69-10 SMALL FUNDS COMMITTEE No. 35-10 RE: CFTC AND SEC...

[24811] December 23, 2010 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 69-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 54-10 SEC RULES COMMITTEE No. 68-10 RE: ICI DRAFT COMMENT LETTER ON PWG’S REPORT ON MONEY MARKET FUND REFORM OPTIONS   As you know, the President’s Working Group...

[24814] December 23, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 64-10 INVESTMENT COMPANY DIRECTORS No. 35-10 OPERATIONS COMMITTEE No. 43-10 SEC RULES COMMITTEE No. 67-10 SMALL FUNDS COMMITTEE No. 34-10 TRANSFER AGENT ADVISORY COMMITTEE No. 87-10 RE: ICI FILES COMMENT LETTER WITH...

  [24803]   December 20, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 11-10 RISK MANAGEMENT COMMITTEE No. 20-10 SEC RULES COMMITTEE No. 66-10 SMALL FUNDS COMMITTEE No. 32-10 RE: ICI FILES COMMENT LETTER ON SEC PROPOSED WHISTLEBLOWER RULES...

[24788] December 14, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 29-10 ETF ADVISORY COMMITTEE No. 56-10 EQUITY MARKETS ADVISORY COMMITTEE No. 53-10 FIXED-INCOME ADVISORY COMMITTEE No. 36-10 SEC RULES COMMITTEE No. 65-10 SMALL FUNDS COMMITTEE No. 31-10 RE: CFTC AND SEC JOINTLY...

    [24778]   December 10, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 62-10 INVESTMENT COMPANY DIRECTORS No. 31-10 OPERATIONS COMMITTEE No. 41-10 SEC RULES COMMITTEE No. 64-10 SMALL FUNDS COMMITTEE No. 29-10 TRANSFER AGENT ADVISORY COMMITTEE No. 84-10 RE: ICI DRAFT LETTER ON FINRA...