SEC Rules Content

[31232] June 4, 2018 TO: ICI Members Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Operations Transfer Agency RE: SEC Grants ICI No-Action Relief Permitting Funds to...

[31230] June 1, 2018 TO: ICI Members SUBJECTS: Fund Accounting & Financial Reporting Valuation RE: AICPA Releases Working Draft of Accounting and Valuation Guide The AICPA recently released for public comment a working draft of an Accounting and Valuation Guide, Valuation of Portfolio...

[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...

[31222] May 25, 2018 TO: SEC Rules Committee RE: Reminder - SEC Rules Committee Meeting on June 12; Dinner on June 11 for Members Attending in Person - Draft Agenda Attached As you know, the next meeting of ICI’s SEC Rules Committee will take place on Tuesday, June 12th. Our guest...

[31215] May 18, 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: ICI Submits...

[31208] May 14, 2018 TO: Accounting/Treasurers Committee Auditor Independence Working Group Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: ICI Call on May 24 to Discuss SEC Auditor Independence Loan Rule Proposal The Securities and Exchange...

[31198] May 7, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting RE: SEC Proposes Amendments to Auditor Independence Loan Rule On May 2, the Securities and Exchange Commission issued for...

[31199] May 7, 2018 TO: ICI Global Regulated Funds Committee SEC Rules Committee Small Funds Committee RE: Creation of ESG Task Force - Initial Call on May 17 We are forming an ESG Task Force that will focus on responding to EU policymaking activity around sustainable investing...

[31194] May 3, 2018 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Fixed-Income Advisory Committee Investment Advisers Committee Municipal...

[31189] May 2, 2018 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Fund Accounting & Financial Reporting Investment Advisers Variable Insurance Products RE: FINRA Staff Issues Guidance Permitting Related Performance Information in Institutional Communications...