Equity Markets Advisory Content

[32301] March 19, 2020 TO: Derivatives Markets Advisory Committee Equity Markets Advisory Committee Global Operations Advisory Committee ICI Global Exchange Traded Funds Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee ICI Global Transaction...

[32286] March 15, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations Risk Oversight Settlement Technology & Business...

[32259] March 4, 2020 TO: ICI Members SUBJECTS: Trading and Markets RE: SEC Proposal to Update NMS Market Data Infrastructure The SEC unanimously approved a rule proposal (“Proposed Rule” or “Release”) to update the national market system (NMS) and ensure that it continues to promote...

[32254] March 2, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Disclosure Investment Advisers Trading and Markets RE: ICI Files Comment Letter with CFTC Supporting Prohibition on Post-Trade Name Give-Up In December, the Commodity Futures Trading...

[32253] February 28, 2020 TO: ICI Members SUBJECTS: Trading and Markets RE: ICI Comment Letter on SEC Proposed Order to Reform NMS Plan Governance The Commission published for comment a proposed order to modernize the operation of existing national market system plans (the “NMS Plans”...

[32237] February 25, 2020 TO: ICI Members SUBJECTS: Trading and Markets RE: SEC Disapproves Cboe EDGA Exchange Proposed Liquidity Provider Protection Delay Mechanism Cboe EDGA Exchange filed a proposed rule with the SEC in June 2019 to establish the Liquidity Provider Protection delay...

[32232] February 24, 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 Releases...

[32215] February 18, 2020 TO: Equity Markets Advisory Committee RE: ICI Draft Comment Letter on SEC Proposed Order to Reform NMS Plan Governance As we previously informed you, the Commission published for comment a proposed order to modernize the operation of existing national market...

[32200] February 7, 2020 TO: Equity Markets Advisory Committee Fixed-Income Advisory Committee RE: SEC Fixed Income Market Structure Advisory Committee Meeting Scheduled for Monday, February 10, 2020 The Securities and Exchange Commission Fixed Income Market Structure Advisory...

[32189] January 31, 2020 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Derivatives Markets Advisory Committee Equity Markets Advisory Committee Fixed-Income Advisory...