SEC Rules Content

    [23122]   December 12, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 47-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 22-08 EQUITY MARKETS ADVISORY COMMITTEE No. 65-08 SEC RULES COMMITTEE No. 88-08     RE: DRAFT ICI LETTER ON PROPOSED FINRA RULE ADDRESSING  THE CIRCULATION OF RUMORS  ...

    [23116]   December 10, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 21-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 34-08 COMPLIANCE ADVISORY COMMITTEE No. 19-08 ETF ADVISORY COMMITTEE No. 36-08 EQUITY MARKETS ADVISORY COMMITTEE No...

    [23102]   December 3, 2008 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 63-08 SEC RULES COMMITTEE No. 86-08     RE: REMINDER - DECEMBER 9 EQUITY MARKETS ADVISORY COMMITTEE MEETING; FINAL AGENDA   The next meeting of the ICI’s Equity Markets Advisory Committee is scheduled for next...

    [23096]   December 2, 2008 TO: SEC RULES COMMITTEE No. 85-08     RE: 2009 SEC RULES COMMITTEE MEETING SCHEDULE   Set forth below are the dates for meetings of the SEC Rules Committee in 2009.   Thursday, February 26, 2009 Wednesday, June 17, 2009 Thursday, October 29, 2009...

[23091] November 26, 2008 TO: BROKER/DEALER ADVISORY COMMITTEE No. 44-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 20-08 EQUITY MARKETS ADVISORY COMMITTEE No. 62-08 SEC RULES COMMITTEE No. 84-08 RE: FINRA PROPOSES RULE ADDRESSING THE CIRCULATION OF RUMORS As part of the process of...

[23076] November 20, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 19-08 SEC RULES COMMITTEE No. 83-08 SMALL FUNDS COMMITTEE No. 31-08 RE: RECENT REPORTS DISCUSSING EFFECTIVE RISK MANAGEMENT PRACTICES IN THE FINANCIAL SERVICES INDUSTRY During recent meetings of the Institute’s Chief...

    [23073]   November 19, 2008 TO: SEC RULES COMMITTEE No. 81-08     RE: REMINDER: SPECIAL MEETING TO BE HELD DURING THE 2008 SECURITIES LAW DEVELOPMENTS CONFERENCE   This is to remind you that we have scheduled a meeting for SEC Rules Committee members and senior staff members of...

    [23075]   November 19, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-08 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 37-08 BOARD OF GOVERNORS No. 14-08 BROKER/DEALER ADVISORY COMMITTEE No. 43-08 ETF ADVISORY COMMITTEE No. 35-08 INVESTMENT COMPANY DIRECTORS No. 25-08...

[23068] November 17, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 17-08 EQUITY MARKETS ADVISORY COMMITTEE No. 59-08 SEC RULES COMMITTEE No. 80-08 RE: ICI COMMENTS ON SEC STUDY OF MARK-TO-MARKET ACCOUNTING As we previously informed you, the Emergency Economic Stabilization Act of 2008...

[23057] November 10, 2008 TO: MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 44-08 FIXED-INCOME ADVISORY COMMITTEE No. 34-08 SEC RULES COMMITTEE No. 79-08 RE: REMINDER - NOVEMBER 13 MUNICIPAL SECURITIES ADIVISORY COMMITTEE MEETING; AGENDA ATTACHED A meeting of the Municipal Securities...