SEC Rules Content

    [24195]   March 25, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 9-10 SEC RULES COMMITTEE No. 13-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 5-10 ETF ADVISORY COMMITTEE No. 8-10 RISK MANAGEMENT COMMITTEE No. 5-10     RE: DRAFT...

    [24189]   March 23, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 8-10 SEC RULES COMMITTEE No. 12-10     RE: REMINDER - APRIL 19 EQUITY MARKETS ADVISORY COMMITTEE MEETING; DRAFT AGENDA ATTACHED   A meeting of the Equity Markets Advisory Committee has been scheduled for Monday...

    [24165]   March 2, 2010 TO: TAX COMMITTEE No. 6-10 ACCOUNTING/TREASURERS COMMITTEE No. 2-10 INTERNATIONAL COMMITTEE No. 2-10 SEC RULES COMMITTEE No. 11-10 PENSION COMMITTEE No. 5-10     RE: MARCH 10 CONFERENCE CALL TO DISCUSS PROPOSED FBAR REGULATIONS   A conference call will be...

    [24147]   February 24, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 7-10 CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-10 COMPLIANCE ADVISORY COMMITTEE No. 3-10 SEC RULES COMMITTEE No. 9-10 TRANSFER AGENT ADVISORY COMMITTEE No. 12-10     RE: ICI FILES LETTER WITH FINRA SUPPORTING...

    [24145]   February 24, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 7-10 SEC RULES COMMITTEE No. 10-10     RE: MARK YOUR CALENDAR - APRIL 19 EQUITY MARKETS ADVISORY COMMITTEE MEETING   A meeting of the Equity Markets Advisory Committee has been scheduled for Monday, April 19...

    [24139]   February 18, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-10 ETF ADVISORY COMMITTEE No. 6-10 SEC RULES COMMITTEE No. 8-10     RE: PROPOSED CHANGES TO NASDAQ'S PRESS RELEASE REQUIREMENTS; YOUR COMMENTS REQUESTED BY FEBRUARY 23RD   The Securities and Exchange...

    [24137]   February 17, 2010 TO: SEC RULES COMMITTEE No. 7-10 EQUITY MARKETS ADVISORY COMMITTEE No. 5-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 3-10 ETF ADVISORY COMMITTEE No. 5-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-10     RE: DRAFT ICI COMMENT LETTER ON SEC PROPOSAL...

    [24124]   February 2, 2010 TO: SEC RULES COMMITTEE No. 6-10 INTERNATIONAL COMMITTEE No. 1-10     RE: DRAFT INSTITUTE LETTER ON IOSCO POINT OF SALE DISCLOSURE CONSULTATION REPORT   As we previously informed you, the International Organization of Securities Commissions (“IOSCO”)...

    [24099]   January 26, 2010 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-10 EQUITY MARKETS ADVISORY COMMITTEE No. 2-10 FIXED-INCOME ADVISORY COMMITTEE No. 1-10 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 4-10 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 2-10 SEC RULES COMMITTEE...

    [24097]   January 25, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 2-10 BROKER/DEALER ADVISORY COMMITTEE No. 3-10 CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-10 COMPLIANCE ADVISORY COMMITTEE No. 2-10 SEC RULES COMMITTEE No. 4-10     RE: DRAFT ICI LETTER SUPPORTING GREATER...