ETF Advisory Content

[31382] September 12, 2018 TO: ETF (Exchange-Traded Funds) Committee ETF Advisory Committee RE: ICI Draft Comment Letter on SEC ETF Rule Proposal; Comments Due September 19 As you know, the SEC proposed a new rule (Rule 6c-11) under the Investment Company Act of 1940 that would permit...

[31379] September 10, 2018 TO: ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Global Exchange Traded Funds Committee RE: Reminder - 26 September 2018 ICI Global ETF Committee Meeting in London - Agenda and Attendee List Attached The first meeting of the ICI Global...

[31344] August 22, 2018 TO: ICI Members ICI Global Members Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee SUBJECTS: Trading and Markets RE: SEC Adopts Rules for the Regulation of NMS Stock Alternative Trading Systems The Securities and...

[31280] July 9, 2018 TO: ICI Members SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations RE: ICI Submits Comment Letter on SEC's FAIR Act Rule Proposal In May the...

[31275] July 5, 2018 TO: ICI Members Investment Company Directors ICI Global Members ETF (Exchange-Traded Funds) Committee ETF Advisory Committee SUBJECTS: Exchange-Traded Funds (ETFs) RE: SEC Proposes Rule and Disclosure Amendments for ETFs Last week, the SEC unanimously proposed a...

[31274] July 3, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Adopts...

[31262] June 26, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF...

[31255] June 21, 2018 TO: Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Fixed-Income Advisory Committee Municipal Securities Advisory Committee RE: SEC Fixed Income Market Structure Advisory Committee Meeting Scheduled for Monday, July...

[31242] June 8, 2018 TO: Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Global Trading & Markets Committee RE: ICI Member Call to Discuss SEC Roundtable on Thinly-Traded Securities Scheduled for June 18 at 1:00 pm (ET) The SEC...

[31223] May 30, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF...