SEC Rules Content

[30888] September 27, 2017 TO: SEC Rules Committee RE: Notice of SEC Rules Committee Meeting on November 2; Dinner on November 1 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 the offices of the...

[30877] September 18, 2017 TO: ICI Members Investment Company Directors ICI Global Members Fixed-Income Advisory Committee ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Derivatives International/Global Investment Advisers Money Market Funds Trading and Markets RE...

[30867] September 11, 2017 TO: ICI Global Regulated Funds Committee SEC Rules Committee RE: Draft ICI Comment Letter on IOSCO Liquidity Risk Management Consultations; Please Respond by 9/15 As we reported in July, [1] the International Organization of Securities Commissions (IOSCO)...

[30862] September 5, 2017 TO: ICI Members SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure RE: Creation of Disclosure Working Group - Initial Call on October 4 We are forming a disclosure-focused working group that will provide a forum to discuss comments that members...

[30856] August 30, 2017 TO: ICI Members SUBJECTS: Audit and Attest Valuation RE: ICI Files Comment Letter on PCAOB Auditing Accounting Estimates Proposal Today the Institute filed the attached comment letter on the Public Company Accounting Oversight Board’s proposal to amend its...

[30847] August 22, 2017 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Derivatives Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Fixed-Income Advisory Committee Investment Advisers Committee...

[30845] August 21, 2017 TO: Derivatives Markets Advisory Committee Fixed-Income Advisory Committee ICI Global Trading & Markets Committee SEC Rules Committee Securities Operations Advisory Committee RE: IOSCO Issues Consultation Report Examining Regulatory Reporting and Public...

[30834] August 14, 2017 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Transfer...

[30831] August 11, 2017 TO: AML Compliance Working Group Compliance Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: Customer Due Diligence Social Code Categorization Matrix We are pleased to announce the...

[30826] August 10, 2017 TO: Equity Markets Advisory Committee ICI Global Regulated Funds Committee SEC Rules Committee RE: EU MiFID II Investment Research Requirements - Update on Request for No-Action Relief for Trade Aggregation and UK FCA Response on Delegation; Member Call on...