SEC Rules Content

  [24773]   December 9, 2010 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 53-10 BROKER/DEALER ADVISORY COMMITTEE No. 61-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-10 ETF ADVISORY COMMITTEE No. 53-10 EQUITY MARKETS ADVISORY COMMITTEE No. 51-10 FIXED-INCOME ADVISORY...

    [24769]   December 9, 2010 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 67-10 SEC RULES COMMITTEE No. 62-10 RE: THREE-WAY CONFIRMATION PROCESS AND NEW SETTLEMENT WINDOW PROPOSED FOR TRI-PARTY REPO MARKET; 12/15 CONFERENCE CALL   Earlier this year, the Tri-Party Repo...

[24762] December 6, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 10-10 RISK MANAGEMENT COMMITTEE No. 19-10 SEC RULES COMMITTEE No. 61-10 SMALL FUNDS COMMITTEE No. 27-10 RE: ICI DRAFT COMMENT LETTER ON SEC PROPOSED WHISTLEBLOWER RULES...

  [24746]   November 30, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-10 INVESTMENT ADVISERS COMMITTEE No. 2-10 SEC RULES COMMITTEE No. 60-10 SMALL FUNDS COMMITTEE No. 24-10 RE: SEC PROPOSES CHANGES TO FORM ADV AND AMENDMENTS TO "PAY TO PLAY" RULE AS PART OF BROADER INVESTMENT...

  [24740]   November 29, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 49-10 SEC RULES COMMITTEE No. 59-10 RE: REMINDER - DECEMBER 8 EQUITY MARKETS ADVISORY COMMITTEE MEETING - FINAL AGENDA ATTACHED   In conjunction with the Institute’s Equity Markets Conference to be held on...

  [24737]   November 26, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-10 ETF ADVISORY COMMITTEE No. 51-10 EQUITY MARKETS ADVISORY COMMITTEE No. 48-10 FIXED-INCOME ADVISORY COMMITTEE No. 32-10 SEC RULES COMMITTEE No. 58-10 SMALL FUNDS COMMITTEE No. 23-10 RE: CFTC ISSUES...

  [24733]   November 23, 2010 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 63-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 49-10 SEC RULES COMMITTEE No. 57-10 RE: DRAFT ICI LETTER ON CFTC PROPOSAL RESTRICTING INVESTMENTS OF CUSTOMER FUNDS IN MONEY MARKET FUNDS; PLEASE RESPOND BY 11...

  [24722]   November 18, 2010 TO: SEC RULES COMMITTEE No. 56-10 FIXED-INCOME ADVISORY COMMITTEE No. 31-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 62-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 26-10 RE: ICI COMMENT LETTER ON FDIC ORDERLY LIQUIDATION PROPOSAL; NOV. 30 CONFERENCE...

    [24713]   November 17, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 46-10 SEC RULES COMMITTEE No. 55-10 RE: DECEMBER 8 EQUITY MARKETS ADVISORY COMMITTEE MEETING - DRAFT AGENDA ATTACHED   In conjunction with the Institute’s Equity Markets Conference to be held on December 9, 2010...

[24711] November 16, 2010 TO: SEC RULES COMMITTEE No. 54-10 RE: 2011 SEC RULES COMMITTEE MEETING SCHEDULE   Set forth below are the dates for meetings of the SEC Rules Committee in 2011. Thursday, February 17, 2011 Thursday, June 16, 2011 Thursday, October 27, 2011 (Committee Dinner...