ETF Advisory Content

[31038] January 19, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Alternative Investments Anti-Money Laundering Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Risk Oversight Valuation RE: SEC Letter to ICI on Fund...

[31022] January 12, 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 Staff...

[30977] December 13, 2017 TO: Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee RE: FINRA's Request for Comment on its Payments for Market Making Rule (Rule 5250); Member Call Wednesday, December 20 FINRA is conducting a retrospective...

[30969] December 8, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Audit Committees Closed-End Funds Compensation/Remuneration Compliance Cybersecurity Derivatives Exchange-Traded Funds (ETFs) Fixed Income Securities Fund Accounting & Financial Reporting Investment...

[30937] November 6, 2017 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: ICI Submits...

[30930] October 30, 2017 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Closed-End Funds Compliance Cybersecurity Derivatives Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global...

[30858] September 5, 2017 TO: ICI Members ETF (Exchange-Traded Funds) Committee ETF Advisory Committee SUBJECTS: Exchange-Traded Funds (ETFs) RE: ICI Files Letters with SEC Supporting a Nine Month Extension of ETF Continued Listing Standards Last week, ICI filed a short letter with...

[30847] August 22, 2017 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Derivatives Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Fixed-Income Advisory Committee Investment Advisers Committee...

[30828] August 10, 2017 TO: ICI Members ICI Global Members ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Global Exchange Traded Funds Committee SUBJECTS: Exchange-Traded Funds (ETFs) RE: New ICI Paper on Understanding ETF Listing Processes and Standards As you know...

[30829] August 10, 2017 TO: ICI Members ICI Global Members ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Global Exchange Traded Funds Committee SUBJECTS: Exchange-Traded Funds (ETFs) International/Global RE: ICI Global Letter on Central Bank of Ireland's ETF...