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January 25, 2021 TO: SEC Rules Committee RE: Registration Now Open for February 24th Virtual Meeting of SEC Rules Committee
On Wednesday, February 24th, from 1:00 pm-3:30 pm ET, ICI will hold a virtual meeting of the SEC Rules Committee. We are pleased to have as guest speakers senior staff of the SEC’s Division of Investment Management, including Brent Fields, Acting Deputy Director and Acting Chief Counsel.
If you plan to attend the February meeting, please visit our registration site at https://cvent.me/gRRben. Please include on the online registration form any particular topics you would like to discuss with other members at the meeting. Please also include any questions or topics you would like our guest speakers to address at the meeting.
We plan to have two virtual “breakout sessions” during this meeting, during which members can discuss a topic in-depth and report back to the full committee. We anticipate that the breakout session topics will be (i) ESG investing; and (ii) fixed-income cross-trading under Rule 17a-7 under the 1940 Act. Please select your preferred breakout session topic when you register.
Prior to the meeting, we will send each member that has registered for the meeting emails including the Zoom participation information to participate in the main meeting and the breakout session. Please note that you may receive different Zoom links/dial-in numbers for the main meeting and your selected breakout session. You may participate in the meeting by video or by phone. We will also circulate discussion questions for the breakout sessions, along with a meeting agenda and materials.
We request that you do not forward your calendar invitation for the meeting to others. Consistent with our guidelines, this meeting is limited to members of the SEC Rules Committee. If you would like additional colleagues at your firm to participate in the meeting, please contact Monique Curtis at monique.curtis@ici.org and she will assist them in registering directly for the meeting. This will help us maintain the confidentiality of our meeting and allow us to monitor the number of attendees. We appreciate your cooperation.
If you have questions or need assistance registering for the meeting, please contact monique.curtis@ici.org or sarah.bessin@ici.org. We look forward to having you join us for our February meeting!
Sarah A. Bessin
Associate General Counsel
Joshua Ratner
Chairman - SEC Rules Committee