Operations Content

[32789] September 29, 2020 TO: ICI Members Operations Committee Pension Committee Pension Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: IRS Finalizes Regulation on Default Withholding for Periodic Payments from Retirement Plans and Annuities...

[32790] September 29, 2020 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Closed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Global Regulated Funds...

[32779] September 25, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Investment Advisers Operations Portfolio Oversight Transfer Agency RE: SEC Adopts Amendments to Shareholder Proposal Rule (Rule 14a-8) This week...

[32765] September 18, 2020 TO: Operations Committee RE: Registration Open - Virtual Operations Committee Meeting October 21 & 22 2020 The next Operations Committee meeting will take place on Wednesday, October 21 and Thursday, October 22, 2020. Due to the current challenges and travel...

[32766] September 18, 2020 TO: Operations Committee RE: Mark Your Calendar - 2021 Operations Committee Meeting Schedule The Operations Committee meeting schedule for 2021 has been finalized. Please mark your calendar for the following meeting dates: April 14-15 October 20-21 Decisions...

[32755] September 14, 2020 TO: ICI Members Accounting/Treasurers Committee Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee Money Market Funds Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory...

The CFTC Divisions of Swap Dealer and Intermediary Oversight (DSIO), Market Oversight (DMO), and Clearing and Risk (DCR) recently revised and expanded previously-issued no-action letters that provide relief to swap dealers (SDs) and other market participants related to the transition...

[32746] September 8, 2020 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global Operations RE: China Revised Regulations on Fund Marketing and Distribution Activities On 28 August 2020, the China Securities Regulatory...

[32729] September 1, 2020 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Closed-End Investment Company Committee Disclosure Working Group ETF Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Unit Investment Trust...

[32728] September 1, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent...