SEC Rules Content

    [23264]   February 20, 2009 TO: BOARD OF GOVERNORS No. 3-09 PRIMARY CONTACTS - MEMBER COMPLEX No. 2-09 SEC RULES COMMITTEE No. 6-09 SMALL FUNDS COMMITTEE No. 1-09     RE: INSTITUTE PRESIDENT’S SUBMISSION TO SEC CHAIRMAN SCHAPIRO   On January 27th, Mary Schapiro was sworn in as the...

    [23252]   February 13, 2009 TO: SEC RULES COMMITTEE No. 5-09 EQUITY MARKETS ADVISORY COMMITTEE No. 5-09 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 3-09 FIXED-INCOME ADVISORY COMMITTEE No. 3-09 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 4-09 INST. MONEY MARKET FUNDS ADVISORY...

    [23249]   February 12, 2009 TO: SEC RULES COMMITTEE No. 4-09     RE: DRAFT AGENDA FOR FEBRUARY 26TH SEC RULES COMMITTEE MEETING   As previously announced, the SEC Rules Committee meeting has been scheduled for Thursday, February 26th.  The meeting will take place at the Investment...

    [23199]   January 23, 2009 TO: SEC RULES COMMITTEE No. 3-09     RE: NOTICE OF SEC RULES COMMITTEE MEETING AND VIDEOCONFERENCE OPTIONS - FEBRUARY 26, 2009; PLEASE RESPOND BY FEBRUARY 6TH   A meeting of the SEC Rules Committee has been scheduled for Thursday, February 26th at the...

    [23185]   January 15, 2009 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-09 CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-09 SEC RULES COMMITTEE No. 2-09     RE: INSTITUTE COMMENTS ON FINRA PROPOSED SELF-REPORTING RULE   As part of its activities to better align the rules of the NASD and...

    [23162]   January 7, 2009 TO: ACCOUNTING/TREASURERS MEMBERS No. 2-09 EQUITY MARKETS ADVISORY COMMITTEE No. 1-09 SEC RULES COMMITTEE No. 1-09     RE: SEC REPORT TO CONGRESS ON MARK-TO-MARKET ACCOUNTING   The Securities and Exchange Commission recently released a report to Congress...

    [23150]   December 24, 2008 TO: TAX COMMITTEE No. 40-08 ACCOUNTING/TREASURERS COMMITTEE No. 22-08 INTERNATIONAL COMMITTEE No. 29-08 SEC RULES COMMITTEE No. 92-08     RE: DRAFT LETTER ON FOREIGN BANK AND FINANCIAL ACCOUNT REPORTING   The attached draft ICI letter to the Treasury...

    [23139]   December 19, 2008 TO: PENSION MEMBERS No. 81-08 TAX COMMITTEE No. 38-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 39-08 BROKER/DEALER ADVISORY COMMITTEE No. 50-08 RESEARCH COMMITTEE No. 10-08 SEC RULES COMMITTEE No. 91-08 FEDERAL LEGISLATION MEMBERS No. 19-08  ...

    [23132]   December 18, 2008 TO: INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 37-08 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 42-08 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 47-08 SEC RULES COMMITTEE No. 90-08     RE: ICI DRAFT COMMENT LETTER ON SEC TEMPORARY EXEMPTION FOR...

    [23124]   December 15, 2008 TO: MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 46-08 SEC RULES COMMITTEE No. 89-08     RE: SEC ADOPTS AMENDMENTS TO MUNICIPAL SECURITIES DISCLOSURE AND APPROVES MSRB DISCLOSURE PROPOSAL   On December 5, 2008, the Securities and Exchange Commission...