Equity Markets Advisory Content

[32184] January 29, 2020 TO: ICI Members ICI Global Members SUBJECTS: Derivatives International/Global Trading and Markets RE: Hong Kong Securities Regulator Adopts Margin Requirements for Non-Centrally Cleared OTC Derivative Transactions In December, the Hong Kong Securities and...

[32177] January 27, 2020 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Derivatives Markets Advisory Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee Money Market Funds Advisory Committee Operations Committee Risk Advisory Committee SEC...

[32167] January 22, 2020 TO: ICI Members ICI Global Members SUBJECTS: Compliance Disclosure Investment Advisers Trading and Markets RE: US CFTC Market Risk Advisory Committee's Subcommittee's Planned Report on Climate-Related Financial and Market Risks The US CFTC’s Market Risk...

[32166] January 22, 2020 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Derivatives Markets Advisory Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee Money Market Funds Advisory Committee Operations Committee Risk Advisory Committee SEC...

[32163] January 21, 2020 TO: Equity Markets Advisory Committee RE: SEC Proposes Order Directing SROs to Submit a New NMS Plan Regarding Consolidated Equity Market Data The SEC recently proposed an order to modernize the operation of existing national market system plans (the “NMS...

[32156] January 16, 2020 TO: ICI Members Investment Company Directors ICI Global Members Management Company Tax Subcommittee Pension Committee Public Communications Committee Tax Advisory Committee Tax Committee SUBJECTS: 529 Plans Derivatives Distribution Fees and Expenses Operations...

[32152] January 16, 2020 TO: ICI Global Members Global Operations Advisory Committee - Asia ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Alternative Investments Compliance Disclosure Distribution Fees and Expenses International/Global Investment Advisers...

[32141] January 13, 2020 TO: ICI Global Members Global Operations Advisory Committee ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers Litigation & Enforcement Trading and Markets RE...

[32115] December 19, 2019 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Fixed-Income Advisory Committee Municipal Securities Advisory Committee SUBJECTS: Derivatives Disclosure Fixed Income Securities Fund Accounting & Financial...

[32091] December 10, 2019 TO: ICI Members SUBJECTS: Trading and Markets RE: ICI Comment Letter Supporting SEC's Proposed Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments The Securities and Exchange Commission recently proposed amending Regulation NMS under the...