SEC Rules Content

[31157] April 10, 2018 TO: SEC Rules Committee RE: SEC Rules Committee Meeting on June 12; Dinner on June 11 for Members Attending in Person - Your Response Requested June SEC Rules Committee Meeting As you know, the next meeting of ICI’s SEC Rules Committee will take place on Tuesday...

[31153] April 10, 2018 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee Money Market Funds Advisory Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Money...

[31156] April 10, 2018 TO: Chief Compliance Officer Committee SEC Rules Committee RE: New York Attorney General Publishes Report on Mutual Fund Fees and Active Share On April 5th, the Investor Protection Bureau of the New York Attorney General’s Office (NYAGO) published a report...

[31142] March 22, 2018 TO: ICI Members Investment Company Directors I Investment Advisers Committee Tax Committee Variable Insurance Products Advisory Committee SUBJECTS: Disclosure Fees and Expenses Fund Governance Investment Advisers Litigation & Enforcement Portfolio Oversight Tax...

[31139] March 20, 2018 TO: Investment Company Directors SUBJECTS: Fund Governance Valuation RE: SEC's Dalia Blass Addresses Board Outreach Initiative in Speech On March 19, Dalia Blass, the SEC’s Director of the Division of Investment Management, highlighted the division’s Board...

[31136] March 16, 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 Proposes...

[31130] March 15, 2018 TO: ICI Members Investment Company Directors ICI Global Members Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Technology Committee SUBJECTS: Compliance Cybersecurity Litigation & Enforcement RE: SEC Charges Equifax CIO with...

[31125] March 12, 2018 TO: ICI Members ICI Global Members Chief Compliance Officer Committee Equity Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee International Operations Advisory Committee SEC Rules Committee SUBJECTS...

[31117] March 6, 2018 TO: ICI Members Investment Company Directors ICI Global MembersBank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Investment Advisers Transfer Agency RE: SEC Charges Broker-Dealer...

[31108] February 23, 2018 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee SUBJECTS: Compliance RE: Supreme Court Requires Whistleblowers to Report to the SEC to Rely on Dodd-Frank's Anti-Retaliatory Protections As you may recall, the...