ETF (Exchange-Traded Funds) Content

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Memo#
32331

SEC's Office of the Secretary Encourages Firms to File Electronically

[32331] March 27, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Money Market Funds Operations Transfer Agency Unit Investment Trusts (UITs) RE: SEC's Office of...
ICI Default BG
Memo#
32327

Emergency No-Action Relief - Mutual Funds and Rule 17a-9

[32327] March 26, 2020 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations...
ICI Default BG
Memo#
32318

SEC Extends Coronavirus Related Exemptive Relief to August 15, 2020

[32318] March 25, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations Risk Oversight...
ICI Default BG
Memo#
32271

Draft ICI Comment Letter on SEC's Proposed Rules on Funds' Use of Derivatives and Sales Practices for Transactions in Leveraged/Inverse Investment Vehicles; Comments Requested by Monday, March 16

[32271] March 9, 2020 TO: 1940 Act Derivatives Working Group Accounting/Treasurers Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee ETF (Exchange-Traded Funds) Committee Money Market Funds Advisory Committee...
ICI Default BG
Memo#
32248

Mark Your Calendar - June 17 ETF Committee Meeting

[32248] February 27, 2020 TO: ETF (Exchange-Traded Funds) Committee RE: Mark Your Calendar - June 17 ETF Committee Meeting The next meeting of the ETF Committee (which is limited to ETF sponsors) has been scheduled for Wednesday, June 17, 2020 in Washington, DC. The meeting will begin...
ICI Default BG
Memo#
32239

Industry Working Groups Examining How to Reform Proxy Plumbing

[32239] February 25, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fees and Expenses Fund Governance Intermediary Oversight Operations Transfer Agency RE: Industry Working Groups Examining How to Reform Proxy Plumbing...