ETF Advisory Content

[31550] January 9, 2019 TO: Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee RE: SEC Requests Comment on Limit Up-Limit Down Plan Amendment: Draft ICI Letter Attached, Member Feedback Requested by Jan. 14 The Securities and Exchange...

[31547] January 4, 2019 TO: ICI MembersICI Global MembersClosed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee RE: SEC Adopts Transaction Fee Pilot Program for NMS Stocks The Securities and Exchange...

[31540] January 2, 2019 TO: ICI Members Investment Company Directors Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Securities Regulation Advisory Group SEC Rules Committee Small Funds Committee Unit Investment Trust Committee...

[31538] December 31, 2018 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee International Internal Audit Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Cybersecurity Exchange-Traded Funds (ETFs) Fixed Income Securities...

[31513] December 4, 2018 TO: ICI Members SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations RE: SEC Adopts Final FAIR Act Rule Last week the SEC adopted rules and...

[31481] November 15, 2018 TO: ICI Members Investment Company Directors Investment Advisers Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Investment Advisers Transfer Agency RE...

[31456] October 24, 2018 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Advertising Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Fees and Expenses Investment Advisers RE: ICI Letter to SEC on Request for Comment on Retail Investor Experience We...

[31415] September 27, 2018 TO: Investment Company Directors SUBJECTS: Disclosure Exchange-Traded Funds (ETFs) Fund Governance RE: IDC Files Comment Letter on SEC's ETF Rule Proposal IDC filed the attached comment letter today on the SEC’s proposed rule for exchange-traded funds (ETFs)...

[31400] September 24, 2018 TO: ICI Members Investment Company Directors ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Global Exchange Traded Funds Committee SUBJECTS: Exchange-Traded Funds (ETFs) RE: ICI Files Comment Letter on SEC's ETF Rule Proposal As you know...

[31392] September 19, 2018 TO: Closed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee RE: Draft ICI Comment Letter on Proposed Transaction Fee Pilot for NMS Stocks; Member Comments Requested by September...