SEC Rules Content

    [21736]   October 8, 2007 TO: SEC RULES COMMITTEE No. 81-07     RE: DRAFT AGENDA FOR OCTOBER 18TH SEC RULES COMMITTEE MEETING   As previously announced, an extended, in-person meeting of the SEC Rules Committee has been scheduled for Thursday, October 18th, with a dinner the night...

    [21751]   October 4, 2007 TO: ACCOUNTING/TREASURERS MEMBERS No. 32-07 FIXED-INCOME ADVISORY COMMITTEE No. 32-07 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 31-07 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 28-07 SEC RULES COMMITTEE No. 80-07 RE: CENTER FOR AUDIT QUALITY ISSUES...

  [21724]   October 3, 2007 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 58-07 SEC RULES COMMITTEE No. 78-07 RE: OCTOBER 11 EQUITY MARKETS ADVISORY COMMITTEE MEETING -- REMINDER AND AGENDA   As we previously informed you, in conjunction with the Institute’s Equity, Fixed-Income &...

  [21732]   October 3, 2007 TO: SEC RULES COMMITTEE No. 79-07 RE: SPECIAL MEETING TO BE HELD DURING THE 2007 SECURITIES LAW DEVELOPMENTS CONFERENCE   As in the past, we have scheduled a meeting for members for the Institute’s SEC Rules Committee and several staff members of the SEC’s...

    [21723]   October 3, 2007 TO: FIXED-INCOME ADVISORY COMMITTEE No. 31-07 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 30-07 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 27-07 PRIMARY CONTACTS - MEMBER COMPLEX No. 25-07 SEC RULES COMMITTEE No. 77-07     RE: OCTOBER 11 INSTITUTIONAL...

  [21712]   October 2, 2007 TO: MUNICIPAL SECURITIES ADVISORY COMMITTEE FIXED-INCOME ADVISORY COMMITTEE No. 30-07 SEC RULES COMMITTEE No. 76-07 RE: REMINDER - OCTOBER 11 INAUGURAL MEETING OF MUNICIPAL SECURITIES ADVISORY COMMITTEE AND AGENDA   As we previously informed you, the...

    [21692]   October 1, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 35-07 INVESTMENT ADVISERS COMMITTEE No. 18-07 SEC RULES COMMITTEE No. 75-07 SMALL FUNDS COMMITTEE No. 36-07     RE: DRAFT INSTITUTE COMMENT LETTER ON SEC PROPOSAL TO AMEND REGULATION D; OCTOBER 3rd...

  [21683]   October 1, 2007 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 56-07 SEC RULES COMMITTEE No. 73-07 RE: NYSE PROPOSES FURTHER MODIFICATIONS TO SPECIALISTS' DEALINGS   The Securities and Exchange Commission has published for comment a proposed rule change filed by the NYSE to...

  [21681]   October 1, 2007 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 57-07 SEC RULES COMMITTEE No. 74-07 RE: FINRA PROPOSES RULE CHANGES RELATING TO RESEARCH ANALYSTS CONFLICTS OF INTEREST   The Securities and Exchange Commission has published for comment two proposed rule changes...

  [21657]   September 25, 2007 TO: INTERNATIONAL COMMITTEE No. 26-07 SEC RULES COMMITTEE No. 72-07 RE: DRAFT ICI COMMENT LETTER ON PROPOSED CANADIAN MUTUAL FUND POINT OF SALE DISCLOSURE REQUIREMENTS; CONFERENCE CALL SCHEDULED ON OCTOBER 4 AT 2:00 P.M. EASTERN TIME   As you know...