SEC Rules Content

    [23951]   November 13, 2009 TO: COMPLIANCE ADVISORY COMMITTEE No. 5-09 EQUITY MARKETS ADVISORY COMMITTEE No. 50-09 FIXED-INCOME ADVISORY COMMITTEE No. 26-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 47-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 54-09 SEC RULES COMMITTEE No. 66...

    [23943]   November 10, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 29-09 SEC RULES COMMITTEE No. 65-09 SMALL FUNDS COMMITTEE No. 20-09     RE: DRAFT ICI LETTER ON PROPOSED REVISIONS TO RULES REQUIRING INTERNET AVAILABILITY OF PROXY MATERIALS   As you know, the Securities...

    [23931]   November 5, 2009 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 3-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-09 SEC RULES COMMITTEE No. 64-09     RE: ICI DRAFT COMMENT LETTER ON FINRA ADVERTISING PROPOSAL; NOVEMBER 12TH CONFERENCE CALL   The Institute has...

    [23901]   October 27, 2009 TO: PENSION MEMBERS No. 51-09 BROKER/DEALER ADVISORY COMMITTEE No. 58-09 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 49-09 OPERATIONS COMMITTEE No. 22-09 TRANSFER AGENT ADVISORY COMMITTEE No. 79-09 SEC RULES COMMITTEE No. 63-09     RE: DOL...

    [23895]   October 22, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 26-09 SEC RULES COMMITTEE No. 62-09 SMALL FUNDS COMMITTEE No. 19-09     RE: SEC PROPOSES REVISIONS TO RULES REQUIRING INTERNET AVAILABILITY OF PROXY MATERIALS   The Securities and Exchange Commission has...

    [23883]   October 16, 2009 TO: SEC RULES COMMITTEE No. 61-09     RE: FEATURED SPEAKERS, SCHEDULE, AND DRAFT AGENDA FOR OCTOBER 28-29 SEC RULES COMMITTEE MEETING AND DINNER   As previously announced, an extended, in-person meeting of the SEC Rules Committee is scheduled for...

    [23877]   October 15, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-09 EQUITY MARKETS ADVISORY COMMITTEE No. 44-09 FIXED-INCOME ADVISORY COMMITTEE No. 22-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 42-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 48-09 SEC RULES...

    [23836]   October 1, 2009 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 2-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-09 SEC RULES COMMITTEE No. 59-09     RE: FINRA REQUESTS COMMENT ON PROPOSED AMENDMENTS TO ADVERTISING RULES; OCTOBER 7TH CONFERENCE CALL   The Financial...

    [23831]   September 30, 2009 TO: SEC RULES COMMITTEE No. 58-09 529 PLAN ADVISORY COMMITTEE No. 4-09 INVESTMENT ADVISERS COMMITTEE No. 5-09     RE: ICI DRAFT LETTER ON SEC PAY-TO-PLAY RESTRICTIONS FOR INVESTMENT ADVISERS; COMMENTS REQUESTED BY OCTOBER 5   The Securities and...

    [23829]   September 30, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 22-09 ETF ADVISORY COMMITTEE No. 30-09 SEC RULES COMMITTEE No. 57-09     RE: ICI DRAFT COMMENT LETTER ON PROPOSED CHANGES TO NYSE CORPORATE GOVERNANCE REQUIREMENTS; YOUR COMMENTS REQUESTED BY OCTOBER 2ND...