SEC Rules Content

[30981] December 14, 2017 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee Operations Committee SEC Rules Committee Small Funds Committee Unit Investment Trust Committee RE: ICI Draft...

[30976] December 13, 2017 TO: SEC Rules Committee RE: Notice of SEC Rules Committee Meeting on February 8, 2018 The next meeting of the SEC Rules Committee has been scheduled for Thursday, February 8, 2018. The meeting will take place at the Investment Company Institute, 1401 H Street...

[30975] December 12, 2017 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: International/Global MiFID, EMIR, AIFMD, UCITS V RE: CFTC Interpretive Guidance Regarding CTA Registration...

[30970] December 11, 2017 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Fixed-Income Advisory Committee Money Market Funds Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Tax Committee Variable Insurance Products...

[30963] December 8, 2017 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Derivatives Money Market Funds Risk Oversight Systemic Risk RE: Treasury Issues Report on Financial Stability Oversight Council Processes for Designating Systemically Important Nonbank...

[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...

[30957] November 21, 2017 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: CFA Institute Delays Effective Date of Its Broadly Distributed Pooled Fund Guidance Statement...

[30943] November 8, 2017 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small...

[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...