ETF (Exchange-Traded Funds) Content

[32131] January 8, 2020 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee International Internal Audit Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Cybersecurity...

[32099] December 12, 2019 TO: ICI Members SUBJECTS: Audit Committees Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Money Market Funds Valuation RE: Greater Access to "ADIs" on Division of Investment Management Website As you know, the...

[32095] December 11, 2019 TO: ICI Members ICI Global Members SUBJECTS: Advertising Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Transfer Agency Variable Insurance Products RE: ICI Summary of Fall 2019 Regulatory Flexibility Agendas for SEC and CFTC...

[32083] December 6, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Risk Oversight Systemic Risk RE: SEC Re-Proposes Rule on Fund's Use of Derivatives and Proposes Sales Practice Rules for Transactions in Leveraged/Inverse...

[32084] December 6, 2019 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 ETF Advisory Committee Operations...

[32064] November 26, 2019 TO: ICI Members Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Operations RE: ICI Submits Comment Letter on SEC's Proposal...

[32040] November 6, 2019 TO: Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter on SEC's Proposal for Exemptive Order Applications; Comments Due November 14 As previously reported, the...

[32019] October 22, 2019 TO: ICI Members Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Operations RE: SEC Proposes New Procedures for Exemptive Order...

[31993] October 4, 2019 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Disclosure Exchange-Traded Funds (ETFs) Money Market Funds Transfer Agency Variable Insurance Products RE: ICI Letter on Member Firms' Preferences and Costs Associated with SEC Staff's...

[31984] September 30, 2019 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Chief Compliance Officer Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Global Exchange Traded Funds Committee SEC Rules Committee...