SEC Rules Content

    [23395]   April 16, 2009 TO: INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 16-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 16-09 SEC RULES COMMITTEE No. 17-09     RE: REMINDER - MAY 14 INSTITUTIONAL MONEY MARKET FUNDS ADVISORY COMMITTEE MEETING   A meeting of the Institutional...

    [23340]   March 20, 2009 TO: SEC RULES COMMITTEE No. 15-09 EQUITY MARKETS ADVISORY COMMITTEE No. 12-09 FIXED-INCOME ADVISORY COMMITTEE No. 7-0 9MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 9-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 10-09 INST. MONEY MARKET FUNDS ADVISORY...

    [23330]   March 18, 2009 TO: ACCOUNTING/TREASURERS COMMITTEE No. 5-09 SEC RULES COMMITTEE No. 13-09     RE: FASB PROPOSES NEAR-TERM ADDITIONS TO APPLICATION GUIDANCE REGARDING FAIR VALUE MEASUREMENTS AND IMPAIRMENTS OF SECURITIES   The Financial Accounting Standards Board acted...

    [23327]   March 18, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-09ETF ADVISORY COMMITTEE No. 6-09SEC RULES COMMITTEE No. 12-09SMALL FUNDS COMMITTEE No. 4-09     RE: ICI DRAFT COMMENT LETTER ON NYSE PROPOSAL REGARDING BROKER VOTING ON ELECTIONS OF DIRECTORS AND...

    [23325]   March 18, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-09 COMPLIANCE ADVISORY COMMITTEE No. 3-09 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 9-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 9-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 8-09 SEC RULES COMMITTEE...

    [23297]   March 5, 2009 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 2-09 ETF ADVISORY COMMITTEE No. 5-09 SEC RULES COMMITTEE No. 11-09 SMALL FUNDS COMMITTEE No. 2-09     RE: SEC PUBLISHES FOR COMMENT NYSE PROPOSAL REGARDING BROKER VOTING ON ELECTIONS OF DIRECTORS AND...

    [23295]   March 4, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 8-09 SEC RULES COMMITTEE No. 10-09     RE: SEC CHARGES 14 SPECIALIST FIRMS WITH IMPROPER PROPRIETARY TRADING   The SEC brought enforcement actions against 14 specialist firms for unlawful proprietary trading on...

    [23282]   March 2, 2009 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 6-09 INTERNATIONAL COMMITTEE No. 2-09 SEC RULES COMMITTEE No. 9-09     RE: IOSCO ISSUES CONSULTATION REPORT ON “DIRECT ELECTRONIC ACCESS” ARRANGEMENTS   The Technical Committee of the International Organization of...

    [23265]   February 20, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 6-09 BROKER/DEALER ADVISORY COMMITTEE No. 8-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-09 COMPLIANCE ADVISORY COMMITTEE No. 1-09 SEC RULES COMMITTEE No. 7-09 TRANSFER AGENT ADVISORY COMMITTEE No...

    [23268]   February 20, 2009 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 8-09 BROKER/DEALER ADVISORY COMMITTEE No. 10-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-09 COMPLIANCE ADVISORY COMMITTEE No. 2-09 OPERATIONS COMMITTEE No. 3-09 SEC RULES COMMITTEE No. 8-09...