Equity Markets Advisory Content

[32906] November 10, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Advertising Closed-End Funds Disclosure Fund Accounting & Financial Reporting Trading and Markets RE: Private Market Update: SEC Adopts Changes to Exempt Offering Framework The Securities and Exchange...

[32890] November 3, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Alternative Investments Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Financial Stability Fund Governance Recordkeeping Risk Oversight RE: SEC's New Rule on Funds' Use of Derivatives...

[32886] November 2, 2020 TO: ICI Members Investment Company Directors 1940 Act Derivatives Working Group SUBJECTS: Alternative Investments Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Financial Stability Fund Governance Recordkeeping Risk Oversight...

[32881] October 30, 2020 TO: ICI Members Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance CPO/CTA Derivatives Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers RE: CFTC Approves Amendments to Form...

[32876] October 29, 2020 TO: Equity Markets Advisory Committee RE: Your Views Requested by November 9 on Draft Comment Letter on Consolidated Equity Market Data NMS Plan Attached is a draft comment letter responding to the SEC’s request for comment on the Exchanges’ filing of an NMS...

[32860] October 27, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Derivatives International/Global Investment Advisers Trading and Markets RE: ICI Files Comment...

[32866] October 27, 2020 TO: ICI Members ICI Global Members ICI Global Brexit Task Force SUBJECTS: International/Global Trading and Markets RE: Brexit: ESMA Statement on the EU Share Trading Obligation On 26 October 2020, the European Securities and Markets Authority (ESMA) published...

[32868] October 27, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance CPO/CTA Derivatives International/Global Investment Advisers Trading and Markets RE: CFTC Chairman Tarbert Issues Directive on...

[32837] October 16, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee LIBOR Transition Working Group SUBJECTS: Compliance Derivatives International/Global Investment Advisers Trading and Markets RE: CFTC Extends Phase...

[32817] October 8, 2020 TO: Equity Markets Advisory Committee RE: SEC Issues NMS Consolidated Equity Data Plan for Public Comment On October 5, the SEC published the proposed single National Market System (NMS) Consolidated Equity Data Plan (“CT Plan”) for public comment. [1] Comments...