Equity Markets Advisory Content

[32536] June 17, 2020 TO: ICI Members Equity Markets Advisory Committee SUBJECTS: Litigation & Enforcement Trading and Markets RE: DC Circuit Court of Appeals Invalidates SEC's Transaction Fee Pilot Program On June 16, the U.S. Court of Appeals for the D.C. Circuit issued an opinion...

[32531] June 16, 2020 TO: ICI Global Members ICI Global Regulated Funds Committee SUBJECTS: Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V Pension Trading and Markets RE: High-Level Forum on the EU Capital Markets Union Publishes Final...

[32529] June 16, 2020 TO: ICI Members Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance CPO/CTA Derivatives Fund Accounting & Financial Reporting Investment Advisers RE: ICI Submits Comments on CFTC Proposal to Revise Form CPO-PQR As...

[32533] June 16, 2020 TO: Equity Markets Advisory Committee RE: D.C. Circuit Court of Appeals Invalidates SEC's Transaction Fee Pilot Program Earlier today, the U.S. Court of Appeals for the D.C. Circuit issued an opinion invalidating the SEC’s Transaction Fee Pilot Program. We are...

[32517] June 10, 2020 TO: Equity Markets Advisory Committee Fixed-Income Advisory Committee RE: Summary of SEC's Fixed Income Market Structure Advisory Committee Meeting The SEC’s Fixed Income Market Structure Advisory Committee (FIMSAC) held a virtual meeting on June 1, 2020 [1] and...

[32513] June 5, 2020 TO: Equity Markets Advisory Committee RE: Nasdaq Petitions DC Circuit Court of Appeals to Review SEC's NMS Governance Final Order and Motion for Stay with SEC On June 1, Nasdaq filed a petition with the U.S. Court of Appeals for the DC Circuit requesting a review...

[32497] May 29, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Trading and Markets RE: CFTC Approves Interim Final Rule Deferring Phase 5...

[32494] May 29, 2020 TO: Equity Markets Advisory Committee Fixed-Income Advisory Committee RE: SEC Fixed Income Market Structure Advisory Committee Meeting Scheduled for Monday, June 1, 2020 The Securities and Exchange Commission Fixed Income Market Structure Advisory Committee...

[32490] May 28, 2020 TO: ICI Members SUBJECTS: Alternative Investments Closed-End Funds Fixed Income Securities Investment Advisers Portfolio Oversight Systemic Risk Trading and Markets RE: SEC Staff Issues No-Action Relief Related to Registered Fund Participation in the Federal...

[32486] May 27, 2020 TO: ICI Members SUBJECTS: Trading and Markets RE: ICI Comment Letter on SEC Proposed Market Data Infrastructure Rule The Commission published for comment a proposed rule to expand the national market system (“NMS”) market data content and replace the exclusive...