SEC Rules Content

    [23481]   May 22, 2009 TO: ACCOUNTING/TREASURERS COMMITTEE No. 9-09 INVESTMENT ADVISERS COMMITTEE No. 2-09 SEC RULES COMMITTEE No. 26-09     RE: SEC PROPOSES AMENDMENTS TO INVESTMENT ADVISER CUSTODY RULE; CONFERENCE CALL SCHEDULED FOR JUNE 4   The Securities and Exchange...

    [23478]   May 22, 2009 TO: PENSION COMMITTEE No. 12-09 PENSION OPERATIONS ADVISORY COMMITTEE No. 13-09 SEC RULES COMMITTEE No. 25-09     RE: SEC/DOL ANNOUNCE JOINT HEARING ABOUT TARGET DATE FUNDS   The Securities and Exchange Commission and the Department of Labor announced that...

[23474] May 21, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 20-09 INTERNATIONAL COMMITTEE No. 5-09 SEC RULES COMMITTEE No. 24-09 RE: ICI COMMENT LETTER ON IOSCO CONSULTATION REPORT ON “DIRECT ELECTRONIC ACCESS” ARRANGEMENTS As we previously informed you, the International...

    [23456]   May 18, 2009 TO: SEC RULES COMMITTEE No. 23-09     RE: NOTICE OF SEC RULES COMMITTEE MEETING AND LOS ANGELES AND CHICAGO VIDEOCONFERENCE OPTIONS - JUNE 17, 2009   A meeting of the SEC Rules Committee has been scheduled for Wednesday, June 17th at the offices of the...

    [23440]   May 11, 2009 TO: INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 21-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 21-09 SEC RULES COMMITTEE No. 22-09     RE: REMINDER - MAY 14 INSTITUTIONAL MONEY MARKET FUNDS ADVISORY COMMITTEE MEETING; FINAL AGENDA ATTACHED   As we...

[23427] April 30, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-09 INVESTMENT ADVISERS COMMITTEE No. 1-09 SEC RULES COMMITTEE No. 21-09 SMALL FUNDS COMMITTEE No. 7-09 RE: FINRA NOTICE TO MEMBERS ON ASSOCIATED PERSON REPORTING OF...

[23425] April 29, 2009 TO: INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 19-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 19-09 SEC RULES COMMITTEE No. 20-09 RE: REMINDER - MAY 14 INSTITUTIONAL MONEY MARKET FUNDS ADVISORY COMMITTEE MEETING; DRAFT AGENDA ATTACHED As we previously...

[23416] April 24, 2009 TO: SEC RULES COMMITTEE No. 19-09 EQUITY MARKETS ADVISORY COMMITTEE No. 18-09 ETF ADVISORY COMMITTEE No. 10-09 RE: CFTC ISSUES CONCEPT RELEASE ON WHETHER TO ELIMINATE THE BONA FIDE HEDGE EXEMPTION FOR SWAP DEALERS The Commodity Futures Trading Commission (“CFTC”...

    [23416]   April 24, 2009 TO: SEC RULES COMMITTEE No. 19-09 EQUITY MARKETS ADVISORY COMMITTEE No. 18-09 ETF ADVISORY COMMITTEE No. 10-09     RE: CFTC ISSUES CONCEPT RELEASE ON WHETHER TO ELIMINATE THE BONA FIDE HEDGE EXEMPTION FOR SWAP DEALERS   The Commodity Futures Trading...

    [23407]   April 20, 2009 TO: SEC RULES COMMITTEE No. 18-09 EQUITY MARKETS ADVISORY COMMITTEE No. 17-09 ETF ADVISORY COMMITTEE No. 9-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-09     RE: SEC PROPOSES SHORT SALE REGULATION; CONFERENCE CALL SCHEDULED FOR APRIL 22   The...