Equity Markets Advisory Content

On August 14, the CFTC issued two proposals to amend certain margin requirements for non-cleared swaps for swap dealers (SDs) and major swap participants (MSPs) (collectively, “covered swap entities” or CSEs). The CFTC Global Markets Advisory Committee’s Subcommittee on Margin...

[32670] August 11, 2020 TO: ICI Members SUBJECTS: Compliance Disclosure Distribution Fixed Income Securities Trading and Markets RE: SEC Publishes Procedures for Nominating Members to the Investor Advisory Committee On August 5, the Securities and Exchange Commission published new...

[32664] August 6, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee Securities Operations Advisory Committee SUBJECTS: Compliance Derivatives International/Global Investment...

[32646] July 29, 2020 TO: ICI Members Investment Company Directors Advertising Compliance Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee Disclosure Working Group Fixed...

[32605] July 16, 2020 TO: Accounting/Treasurers Committee Closed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee RE: SEC Proposes to Increase Form 13F Reporting Threshold to $3.5 Billion...

[32595] July 13, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Financial Stability Investment Advisers Trading and Markets RE: ICI Files Comment Letter with CFTC on Proposed Amendments to Part 190 Bankruptcy Regulations ICI has filed a comment...

[32575] July 2, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Disclosure Investment Advisers Trading and Markets RE: CFTC Adopts Final Rule Prohibiting Post-Trade Name Give-Up on Swap Execution Facilities On June 25, 2020, the Commodity Futures...

[32559] June 26, 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: Update on FDIC and...

[32537] June 18, 2020 TO: Equity Markets Advisory Committee RE: SEC Denies Nasdaq's Motion to Stay NMS Governance Final Order On June 12, the SEC issued an order denying Nasdaq’s motion to stay the final order to reform National Market System (NMS) governance pending resolution of its...

[32535] June 17, 2020 TO: Equity Markets Advisory Committee RE: SEC Chairman and Division of Trading and Markets Director to Speak on Market Structure SEC Chairman Jay Clayton and Division of Trading and Markets Director Brett Redfearn will be holding a discussion on market structure...