SEC Rules Content

[24354]   June 9, 2010 TO: AML COMPLIANCE WORKING GROUP No. 8-10 TRANSFER AGENT ADVISORY COMMITTEE No. 30-10 BROKER/DEALER ADVISORY COMMITTEE No. 20-10 SEC RULES COMMITTEE No. 22-10 RE: JOINT INDUSTRY ASSOCIATION LETTER ON AML PROGRAMS AND BENEFICIAL OWNERSHIP INFORMATION   On June 9...

[24351]   June 9, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-10 SEC RULES COMMITTEE No. 23-10 RE: SEC PROPOSES CONSOLIDATED AUDIT TRAIL   The Securities and Exchange Commission has proposed to require the Financial Industry Regulatory Authority and the national securities...

[24341]   June 1, 2010 TO: SEC RULES COMMITTEE No. 21-10 RE: DRAFT AGENDA FOR JUNE 17 SEC RULES COMMITTEE MEETING   As we previously informed you, the SEC Rules Committee meeting has been scheduled for Thursday, June 17th. We are pleased to announce that Robert Kaplan and Bruce...

    [24311]   May 21, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 10-10 ETF ADVISORY COMMITTEE No. 18-10 EQUITY MARKETS ADVISORY COMMITTEE No. 16-10 SEC RULES COMMITTEE No. 20-10     RE: SEC PROPOSES LARGE TRADER REPORTING...

  [24260]   April 23, 2010 TO: SEC RULES COMMITTEE No. 19-10     RE: NOTICE OF SEC RULES COMMITTEE MEETING AND VIDEOCONFERENCE OPTIONS - JUNE 17TH; PLEASE RESPOND BY JUNE 10TH   A meeting of the SEC Rules Committee has been scheduled for Thursday, June 17th at the offices of the...

    [24256]   April 21, 2010 TO: TAX COMMITTEE No. 10-10 ACCOUNTING/TREASURERS COMMITTEE No. 4-10 INTERNATIONAL COMMITTEE No. 5-10 SEC RULES COMMITTEE No. 18-10 PENSION COMMITTEE No. 10-10     RE: DRAFT ICI COMMENT LETTER ON FBAR PROPOSED REGULATIONS; PLEASE PROVIDE COMMENTS BY MONDAY...

    [24238]   April 15, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 13-10 SEC RULES COMMITTEE No. 17-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 8-10 ETF ADVISORY COMMITTEE No. 13-10 SMALL FUNDS COMMITTEE No. 4-10 RISK MANAGEMENT...

    [24226]   April 12, 2010 TO: INTERNATIONAL COMMITTEE No. 3-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 12-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 10-10 SEC RULES COMMITTEE No. 16-10     RE: ICI DRAFT LETTER ON BASEL COMMITTEE'S PROPOSED STANDARDS REGARDING A GLOBAL...

    [24221]   April 8, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 12-10 SEC RULES COMMITTEE No. 15-10     RE: REMINDER - APRIL 19 EQUITY MARKETS ADVISORY COMMITTEE MEETING; FINAL AGENDA ATTACHED   A meeting of the Equity Markets Advisory Committee has been scheduled for Monday...

    [24211]   April 1, 2010   TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-10 COMPLIANCE ADVISORY COMMITTEE No. 5-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 4-10 SEC RULES COMMITTEE No. 14-10     RE: SEC APPOINTS ITS FIRST CHIEF COMPLIANCE OFFICER   The SEC has announced the appointment...