SEC Rules Content

  [24631]   October 20, 2010 TO: SEC RULES COMMITTEE No. 43-10 SMALL FUNDS COMMITTEE No. 18-10 RE: CONFERENCE CALL TO DISCUSS DRAFT 12B-1 COMMENT LETTER; FRIDAY, OCTOBER 29TH AT 2:30 P.M. (EASTERN)   Last week, we circulated a draft comment letter on the SEC's proposal to reform Rule...

URGENT/ACTION REQUESTED [24613] October 14, 2010 TO: ACCOUNTING/TREASURERS COMMITTEE No. 11-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 36-10 BROKER/DEALER ADVISORY COMMITTEE No. 43-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 49-10 OPERATIONS COMMITTEE No. 29-10 PENSION...

  [24601]   October 14, 2010 TO: SEC RULES COMMITTEE No. 41-10 RE: SCHEDULE OF EVENTS AND DRAFT AGENDA FOR OCTOBER 27-28 SEC RULES COMMITTEE MEETING AND DINNER   As previously announced, an extended, in-person meeting of the SEC Rules Committee is scheduled for Thursday, October 28th...

  [24600]   October 8, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-10 ETF ADVISORY COMMITTEE No. 43-10 SEC RULES COMMITTEE No. 40-10 RE: DRAFT LETTER ON NFA PETITION TO NARROW CFTC RULE 4.5 EXCLUSION FOR INVESTMENT COMPANIES; COMMENTS DUE TO ICI BY OCTOBER 14   The...

  [24572]   October 4, 2010 TO: SEC RULES COMMITTEE No. 39-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19-10 SMALL FUNDS COMMITTEE No. 13-10 RE: DRAFT ICI COMMENT LETTER ON SEC CONCEPT RELEASE ON PROXY SYSTEM; COMMENTS REQUESTED BY OCTOBER 12TH   As you may recall, in July, the...

  [24550]   September 23, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 36-10 SEC RULES COMMITTEE No. 38-10 RE: MARK YOUR CALENDAR - DECEMBER 8 EQUITY MARKETS ADVISORY COMMITTEE MEETING   In conjunction with the Institute’s Equity Markets Conference to be held on December 9, 2010 in...

[24545]   September 15, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 17-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 26-10 ETF ADVISORY COMMITTEE No. 38-10 EQUITY MARKETS ADVISORY COMMITTEE No. 34-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 36-10 FIXED-INCOME ADVISORY...

  [24524]   September 2, 2010 TO: SEC RULES COMMITTEE No. 36-10 RE: NOTICE OF SEC RULES COMMITTEE MEETING AND DINNER ON OCTOBER 27-28, 2010; OFFSITE MEETING LOCATION   An extended, in-person meeting of the SEC Rules Committee has been scheduled for Thursday, October 28th.  Please note...

    [24510]   August 24, 2010 TO: INVESTMENT ADVISERS COMMITTEE No. 1-10 SEC RULES COMMITTEE No. 35-10 RE: DRAFT COMMENT LETTER ON SEC'S IA/BD STUDY; COMMENTS DUE TO ICI BY AUGUST 27   As we previously informed you, the Securities and Exchange Commission is seeking comment for a study...

  [24474]   August 6, 2010 TO: PENSION COMMITTEE No. 21-10 PENSION OPERATIONS ADVISORY COMMITTEE No. 20-10 SEC RULES COMMITTEE No. 34-10 SMALL FUNDS COMMITTEE No. 12-10 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 4-10 529 PLAN ADVISORY COMMITTEE No. 3-10 RE: DRAFT ICI LETTER ON SEC...