Equity Markets Advisory Content

[32408] April 23, 2020 TO: Equity Markets Advisory Committee RE: ICI Draft Comment Letter on SEC Proposed Market Data Infrastructure Rule As we previously informed you, the Commission published for comment a proposed rule to expand the national market system (“NMS”) market data...

[32382] April 13, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Recordkeeping Trading and Markets RE: CFTC Extends Comment Deadlines for Several Open Proposals In light of challenges caused by the COVID-19 pandemic...

[32369] April 8, 2020 TO: ICI Members ICI Global Members SUBJECTS: Exchange-Traded Funds (ETFs) Fixed Income Securities Investment Advisers Money Market Funds Municipal Securities Systemic Risk Trading and Markets RE: Reference Guide: Federal Reserve Funding Facilities Established in...

[32371] April 8, 2020 TO: ICI Members ICI Global Members ICI Global Investing Subcommittee ICI Global Regulated Funds Committee ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee SUBJECTS: Alternative Investments Fund Accounting & Financial Reporting...

[32351] April 3, 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...

On March 23, the US Senate voted 96-0 to approve the Coronavirus Aid, Relief, and Economic Security (CARES) Act. The US House of Representatives then followed suit and approved this sweeping legislation by voice vote this afternoon. President Trump is expected to sign it into law...

[32329] March 27, 2020 TO: Equity Markets Advisory Committee RE: SEC Issues COVID-19-Related Temporary Exemptive Relief for Broker-Dealers from Certain Order Handling Disclosure Rules On March 25, the SEC issued temporary exemptive relief from certain requirements of Rule 606 for...

[32324] March 26, 2020 TO: Chief Information Security Officer Committee Equity Markets Advisory Committee Technology Committee RE: SEC Chairman Clayton Directs Staff to Provide Recommendations on Consolidated Audit Trail Data Security On March 17, SEC Chairman Jay Clayton issued a...

[32326] March 26, 2020 TO: ICI Global Members Chief Compliance Officer Committee International Compliance Advisory Committee International Internal Audit Advisory Committee SUBJECTS: Audit Committees Compliance International/Global Investment Advisers Operations Trading and Markets RE...

[32323] March 26, 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...