SEC Rules Content

    [23683]   August 7, 2009 TO: SEC RULES COMMITTEE No. 46-09 529 PLAN ADVISORY COMMITTEE No. 3-09 INVESTMENT ADVISERS COMMITTEE No. 4-09     RE: SEC PROPOSES PAY-TO-PLAY RESTRICTIONS FOR INVESTMENT ADVISERS   The Securities and Exchange Commission has proposed to inhibit pay-to-play...

[23668]   July 30, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-09 ETF ADVISORY COMMITTEE No. 24-09 SEC RULES COMMITTEE No. 45-09 SMALL FUNDS COMMITTEE No. 14-09 RE: INSTITUTE DRAFT COMMENT LETTER ON SEC PROPOSAL TO FACILITATE SHAREHOLDER DIRECTOR NOMINATIONS   The...

    [23651]   July 23, 2009 TO: ACCOUNTING/TREASURERS COMMITTEE No. 11-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-09 RISK MANAGEMENT ADVISORY COMMITTEE No. 7-09 SEC RULES COMMITTEE No. 44-09     RE: SEC PROPOSES ENHANCED COMPENSATION AND GOVERNANCE DISCLOSURE FOR PROXY AND...

    [23635]   July 17, 2009 TO: SEC RULES COMMITTEE No. 43-09 SMALL FUNDS COMMITTEE No. 13-09 BROKER/DEALER ADVISORY COMMITTEE No. 40-09 ETF ADVISORY COMMITTEE No. 22-09     RE: INSTITUTE DRAFT COMMENT LETTER ON FINRA'S PROPOSED COMPENSATION RULE AMENDMENTS; FEEDBACK REQUESTED BY JULY...

    [23623]   July 13, 2009 TO: EXCHANGE-TRADED FUNDS SEC RULES COMMITTEE No. 42-09 SMALL FUNDS COMMITTEE No. 12-09     RE: NOTICE OF CONFERENCE CALL FOR INSTITUTE MEMBERS WHO HELD LYONDELL CHEMICAL COMPANY STOCK ON DECEMBER 20, 2007   As you may be aware, the Lyondell Chemical...

    [23618]   July 10, 2009 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 27-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 29-09 SEC RULES COMMITTEE No. 41-09     RE: ICI DRAFT COMMENT LETTER ON CFTC’S CONSIDERATION OF CHANGES TO PERMITTED INVESTMENTS   The Commodity Futures Trading...

    [23606]   July 2, 2009 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 26-09 SEC RULES COMMITTEE No. 40-09     RE: SEC PROPOSES CHANGES TO MONEY MARKET FUND REGULATION; CONFERENCE CALL SCHEDULED FOR JULY 13   The Securities and Exchange Commission has proposed amendments to rules...

    [23561]   June 19, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-09 ETF ADVISORY COMMITTEE No. 16-09 SEC RULES COMMITTEE No. 38-09 SMALL FUNDS COMMITTEE No. 10-09     RE: SEC PROPOSAL TO FACILITATE SHAREHOLDER DIRECTOR NOMINATIONS   The Securities and Exchange Commission...

    [23568]   June 19, 2009 TO: SEC RULES COMMITTEE No. 39-09 SMALL FUNDS COMMITTEE No. 11-09 BROKER/DEALER ADVISORY COMMITTEE No. 33-09 ETF ADVISORY COMMITTEE No. 17-09     RE: FINRA PROPOSES CHANGES TO THE NASD'S COMPENSATION RULE AS PART OF ITS RULE CONSOLIDATION PROCESS; CALL TO...

[23560] June 18, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 10-09 ETF ADVISORY COMMITTEE No. 15-09 SEC RULES COMMITTEE No. 37-09 SMALL FUNDS COMMITTEE No. 9-09 RE: SEC PROPOSAL TO FACILITATE SHAREHOLDER DIRECTOR NOMINATIONS The Securities and Exchange Commission has proposed...