SEC Rules Content

  [24466]   August 5, 2010 TO: SEC RULES COMMITTEE No. 33-10 RE: AUGUST 12, 2010 CONFERENCE CALL ON SEC'S RULE 12B-1 PROPOSAL   As you know, we are in the process of developing the Institute’s positions on the proposal by the Securities and Exchange Commission (SEC) to replace rule...

  [24464]   August 4, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 23-10 ETF ADVISORY COMMITTEE No. 34-10 EQUITY MARKETS ADVISORY COMMITTEE No. 31-10 SEC RULES COMMITTEE No. 32-10 RE: ICI DRAFT COMMENT LETTER ON SEC CONSOLIDATED...

[24452]   July 29, 2010 TO: ACCOUNTING/TREASURERS COMMITTEE No. 7-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 24-10 BROKER/DEALER ADVISORY COMMITTEE No. 31-10 OPERATIONS COMMITTEE No. 20-10 PENSION COMMITTEE No. 19-10 PENSION OPERATIONS ADVISORY COMMITTEE No. 18-10 SEC...

    [24444]   July 27, 2010 TO: SEC RULES COMMITTEE No. 30-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-10 ETF ADVISORY COMMITTEE No. 32-10 SMALL FUNDS COMMITTEE No. 9-10 TRANSFER AGENT ADVISORY COMMITTEE No. 40-10 BROKER/DEALER ADVISORY COMMITTEE No. 29-10 RE: SEC CONCEPT...

    [24441]   July 26, 2010 TO: FIXED-INCOME ADVISORY COMMITTEE No. 12-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 30-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 28-10 SEC RULES COMMITTEE No. 29-10 RE: ICI DRAFT COMMENT LETTER ON SEC PROPOSAL TO MODIFY ASSET-BACKED SECURITY...

[24422]   July 15, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-10 ETF ADVISORY COMMITTEE No. 28-10 SEC RULES COMMITTEE No. 28-10 RE: NFA PETITIONS CFTC TO RESTRICT INVESTMENT COMPANY EXCLUSION FROM RULES GOVERNING COMMODITY POOL OPERATORS; JULY 21 CALL   The National...

[24389]   June 25, 2010 TO: PENSION COMMITTEE No. 16-10 PENSION OPERATIONS ADVISORY COMMITTEE No. 14-10 SEC RULES COMMITTEE No. 27-10 SMALL FUNDS COMMITTEE No. 8-10 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 2-10 529 PLAN ADVISORY COMMITTEE No. 1-10 RE: SEC PROPOSAL FOR TARGET DATE...

[24367]   June 15, 2010 TO: SEC RULES COMMITTEE No. 26-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 24-10 RE: FASB ISSUES EXPOSURE DRAFT ON ACCOUNTING FOR FINANCIAL INSTRUMENTS   The Financial Accounting Standards Board recently issued a proposed Accounting Standards Update that...

[24360]   June 14, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 14-10 ETF ADVISORY COMMITTEE No. 22-10 EQUITY MARKETS ADVISORY COMMITTEE No. 20-10 SEC RULES COMMITTEE No. 25-10 RE: ICI DRAFT COMMENT LETTER ON SEC LARGE TRADER...

[24352]   June 9, 2010 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 24-10 SEC RULES COMMITTEE No. 24-10 RE: DRAFT LETTER TO CONFEREES REGARDING REPO THREE DAY STAY; CONFERENCE CALL SCHEDULED FOR THURSDAY, JUNE 10   As you know, on May 20, 2010, the U.S. Senate passed the “Restoring...