SEC Rules Content

    [23558]   June 18, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 27-09 SEC RULES COMMITTEE No. 36-09     RE: REMINDER - JUNE 23 EQUITY MARKETS ADVISORY COMMITTEE MEETING; FINAL AGENDA   The next meeting of the Equity Markets Advisory Committee will be Tuesday, June 23, 2009.  The...

    [23554]   June 17, 2009 TO: SEC RULES COMMITTEE No. 35-09 ETF ADVISORY COMMITTEE No. 14-09 EQUITY MARKETS ADVISORY COMMITTEE No. 26-09     RE: ICI COMMENT LETTER ON CFTC'S CONCEPT RELEASE ON WHETHER TO ELIMINATE THE BONA FIDE HEDGE EXEMPTION FOR SWAP DEALERS   As we previously...

    [23522]   June 12, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 25-09 SEC RULES COMMITTEE No. 34-09     RE: REMINDER - JUNE 23 EQUITY MARKETS ADVISORY COMMITTEE MEETING; FINAL AGENDA   The next meeting of the Equity Markets Advisory Committee will be Tuesday, June 23, 2009.  The...

    [23525]   June 11, 2009 TO: SEC RULES COMMITTEE No. 32-09 EQUITY MARKETS ADVISORY COMMITTEE No. 23-09 ETF ADVISORY COMMITTEE No. 11-09     RE: DRAFT ICI COMMENT LETTER ON CFTC'S CONCEPT RELEASE ON WHETHER TO ELIMINATE THE BONA FIDE HEDGE EXEMPTION FOR SWAP DEALERS   The Commodity...

    [23526]   June 11, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 24-09 ETF ADVISORY COMMITTEE No. 12-09 SEC RULES COMMITTEE No. 33-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-09     RE: DRAFT ICI COMMENT LETTER ON SHORT SALE REGULATION; CONFERENCE CALL SCHEDULED FOR JUNE 15...

    [23520]   June 10, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-09 EQUITY MARKETS ADVISORY COMMITTEE No. 22-09 SEC RULES COMMITTEE No. 31-09     RE: FINRA REPROPOSES RULE ADDRESSING THE CIRCULATION OF RUMORS   As you know, last...

    [23509]   June 4, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 21-09 SEC RULES COMMITTEE No. 30-09     RE: REMINDER - JUNE 23 EQUITY MARKETS ADVISORY COMMITTEE MEETING; DRAFT AGENDA   The next meeting of the Equity Markets Advisory Committee will be Tuesday, June 23, 2009.  The...

    [23506]   June 2, 2009 TO: SEC RULES COMMITTEE No. 29-09     RE: DRAFT AGENDA FOR JUNE 17TH SEC RULES COMMITTEE MEETING   As previously announced, the next SEC Rules Committee meeting has been scheduled for Wednesday, June 17th.  The meeting will take place at the Investment...

    [23495]   May 28, 2009 TO: MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 21-09 SEC RULES COMMITTEE No. 28-09     RE: SEC APPROVES TWO MSRB PROPOSALS RELATED TO EMMA   The Securities and Exchange Commission has approved two rule proposals filed by the Municipal Securities Rulemaking...

    [23493]   May 28, 2009 TO: SEC RULES COMMITTEE No. 27-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-09 SMALL FUNDS COMMITTEE No. 8-09 INVESTMENT ADVISERS COMMITTEE No. 3-09     RE: ICI DRAFT COMMENT LETTER ON FINRA NOTICE TO MEMBERS...