Equity Markets Advisory Content

[32813] October 7, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Operations Trading and Markets RE: CFTC Adopts Amendments to Swap Data Reporting Requirements In September, the Commodity Futures Trading Commission...

[32799] October 5, 2020 TO: Equity Markets Advisory Committee Fixed-Income Advisory Committee RE: SEC Fixed Income Market Structure Advisory Committee Meeting Scheduled for Monday, October 5 - Agenda Available The Securities and Exchange Commission (SEC) Fixed Income Market Structure...

[32802] October 2, 2020 TO: ICI Members ICI Global Members Global Advocacy Coordination Advisory Committee ICI Global Atlantic Chapter ICI Global Brexit Task Force ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee...

[32790] September 29, 2020 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Closed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Global Regulated Funds...

[32782] September 25, 2020 TO: Derivatives Markets Advisory Committee Equity Markets Advisory Committee Global Advocacy Coordination Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee RE: ESMA Consultation on MiFIR Transaction Reporting On...

[32760] September 15, 2020 TO: Accounting/Treasurers Committee Closed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ICI Global Regulated Funds Committee SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter on...

The CFTC Divisions of Swap Dealer and Intermediary Oversight (DSIO), Market Oversight (DMO), and Clearing and Risk (DCR) recently revised and expanded previously-issued no-action letters that provide relief to swap dealers (SDs) and other market participants related to the transition...

[32735] September 2, 2020 TO: Chief Information Security Officer Committee Equity Markets Advisory Committee Technology Committee RE: SEC Proposes Amendments to CAT NMS Plan to Enhance Data Security On August 21, the SEC proposed amendments to the existing national market system (NMS)...

[32714] August 27, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee Securities Operations Subcommittee SUBJECTS: Compliance Derivatives International/Global Investment Advisers...

[32697] August 21, 2020 TO: ICI Members SUBJECTS: Trading and Markets RE: SEC Rescinds Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modifies NMS Plan Procedures We are pleased to report that the SEC has adopted a final rule to rescind the “Effective-Upon-Filing”...