SEC Rules Committee
The SEC Rules Committee addresses SEC regulations and other regulatory and legislative issues, other than tax-related, affecting registered investment companies and registered investment advisers.
Committee Meetings
The SEC Rules Committee holds three meetings per year. The Committee typically holds an annual dinner in Washington, DC the night before the full day in-person meeting, and may hold events for members attending the meetings in person in Washington, DC.
Membership Information
Each member firm may have one representative on the SEC Rules Committee. That representative may designate a limited number of additional individuals to receive Committee communications through “colleague access.”
Committtee Members
Colleague Access
Colleague Access gives committee representatives the ability to designate co-workers (i.e., non-committee members) to view committee memos and materials online, receive notification of memos addressed to the committee via ICI Digest and participate in committee calls and meetings.
As committees may deal with confidential policy topics involving draft comment letters and conference calls, ICI limits the number of colleagues per firm who can be designated for Colleague Access. Only committee representatives (not alternates or substitutes) can activate Colleague Access, and colleagues must be employed by the committee member’s firm.
SEC Rules Committee representatives may designate a total of five individuals for Colleague Access.