SEC Rules Content

    [24704]   November 11, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 25-10 EQUITY MARKETS ADVISORY COMMITTEE No. 43-10 FIXED-INCOME ADVISORY COMMITTEE No. 28-10 SEC RULES COMMITTEE No. 53-10 SMALL FUNDS COMMITTEE No. 22-10 RE: DRAFT ICI LETTER ON SEC AND CFTC PROPOSALS TO...

    [24699]   November 11, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-10 FIXED-INCOME ADVISORY COMMITTEE No. 27-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 45-10 SEC RULES COMMITTEE No. 51-10 RE: DRAFT ICI COMMENT LETTER ON SEC PROPOSALS TO IMPROVE DISCLOSURE FOR ASSET...

    [24700]   November 11, 2010 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 60-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 46-10 SEC RULES COMMITTEE No. 52-10 RE: CFTC PROPOSAL RESTRICTING INVESTMENT OF CUSTOMER FUNDS WOULD IMPACT MONEY MARKET FUNDS; NOVEMBER 16 CONFERENCE CALL  ...

[24691] November 8, 2010 TO: SEC RULES COMMITTEE No. 50-10 FIXED-INCOME ADVISORY COMMITTEE No. 26-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 58-10 RE: DRAFT ICI COMMENT LETTER ON FDIC ORDERLY LIQUIDATION PROPOSAL; COMMENTS DUE TO ICI BY NOV. 15   As we previously informed you, [1]...

[24687] November 4, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 9-10 RISK MANAGEMENT COMMITTEE No. 18-10 SEC RULES COMMITTEE No. 49-10 SMALL FUNDS COMMITTEE No. 21-10 RE: SEC PUBLISHES PROPOSED WHISTLEBLOWER RULES FOR COMMENT; CALL TO...

  [24681]   November 3, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 22-10 SEC RULES COMMITTEE No. 48-10 SMALL FUNDS COMMITTEE No. 20-10 RE: CONFERENCE CALL ON PROPOSED AMENDMENTS TO FORM N-PX -- PROXY VOTE DISCLOSURE BY INSTITUTIONAL INVESTORS; TUESDAY, NOVEMBER 9TH AT 2:00 P...

  [24675]   October 29, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 53-10 INVESTMENT COMPANY DIRECTORS No. 25-10 OPERATIONS COMMITTEE No. 35-10 SEC RULES COMMITTEE No. 47-10 SMALL FUNDS COMMITTEE No. 19-10 TRANSFER AGENT ADVISORY COMMITTEE No. 73-10 RE: FINRA ISSUES CONCEPT RELEASE...

  [24651]   October 26, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 42-10 SEC RULES COMMITTEE No. 46-10 RE: REMINDER - DECEMBER 8 EQUITY MARKETS ADVISORY COMMITTEE MEETING   In conjunction with the Institute’s Equity Markets Conference to be held on December 9, 2010 in New York...

  [24649]   October 25, 2010 TO: SEC RULES COMMITTEE No. 45-10 FIXED-INCOME ADVISORY COMMITTEE No. 24-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 55-10 RE: FDIC PROPOSES RULES IMPLEMENTING CERTAIN ORDERLY LIQUIDATION AUTHORITY PROVISIONS OF DODD-FRANK   The FDIC has proposed a rule...

    [24632]   October 20, 2010 TO: CLOSED‑END INVESTMENT COMPANY COMMITTEE No. 21-10 SEC RULES COMMITTEE No. 44-10 SMALL FUNDS COMMITTEE No. 59-10 RE: SEC PROPOSES TWO RULES TO IMPLEMENT SECTION 951 OF THE DODD‑FRANK ACT   The Securities and Exchange Commission has proposed two rules...