SEC Rules Content

[30929] October 26, 2017 TO: ICI MembersInvestment Company Directors ICI Global Members Equity Markets Advisory Committee ICI Global Trading & Markets Committee SEC Rules Committee SUBJECTS: International/Global Trading and Markets RE: SEC Issues No-Action Letters to Facilitate Cross...

[30922] October 23, 2017 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: ICI Submits Follow-up Letter to CFA Institute Regarding Its Broadly Distributed Pooled Fund Work...

[30916] October 18, 2017 TO: ICI Global Members ICI Global Regulated Funds Committee SUBJECTS: International/Global Systemic Risk RE: EBA Issues Opinion and Report on New Prudential Regime for EU Investment Firms The European Banking Authority (EBA) has issued its Opinion and a...

[30915] October 17, 2017 TO: SEC Rules Committee RE: Reminder - SEC Rules Committee Meeting November 2; Committee Dinner November 1 - Draft Agenda Attached The next meeting of the SEC Rules Committee will take place on Thursday, November 2nd. This is an in-person meeting to be held at...

[30912] October 17, 2017 TO: Investment Company Directors SEC Rules Committee Small Funds Committee SUBJECTS: Fund Governance RE: IDC Letter to SEC Staff on Modernizing Directors' Responsibilities IDC submitted the attached letter to Dalia Blass, the SEC’s new Director of the Division...

[30908] October 12, 2017 TO: ICI Members SUBJECTS: Operations Systemic Risk RE: ICI Submits Comments on OCC, FDIC Proposal to Align Their Rules with T+2 Settlement Cycle for Securities Transactions ICI has submitted a comment letter to the Office of the Comptroller of the Currency...

[30905] October 11, 2017 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee ICI Global Trading & Markets Committee SEC Rules Committee SUBJECTS: Derivatives Fixed Income Securities Trading and...

[30897] October 4, 2017 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee...

[30900] October 4, 2017 TO: Derivatives Markets Advisory Committee Fixed-Income Advisory Committee ICI Global Trading & Markets Committee SEC Rules Committee Securities Operations Advisory Committee RE: Draft ICI Global Comment Letter on IOSCO Consultation Report Examining Regulatory...

[30889] September 28, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Compliance Derivatives International/Global Investment Advisers Recordkeeping...