SEC Rules Content

[30764] July 3, 2017 TO: ICI Members Investment Company Directors ICI Global Members Closed-End Investment Company Committee ICI Global Regulated Funds Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure Fund Governance International/Global Investment Advisers RE...

[30763] July 3, 2017 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee ICI Global Regulated Funds Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee RE: ICI Comment Letter on CFA Institute's GIPS Consultation Paper; Comments...

[30755] June 22, 2017 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee ICI Global Regulated Funds Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee RE: CFA Institute Issues Consultation Paper on GIPS The CFA Institute [1]...

[30752] June 22, 2017 TO: AML Compliance Working Group Chief Risk Officer Committee Closed-End Investment Company Committee ICI Global Regulated Funds Committee Pension Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: Treasury Department Seeks...

[30748] June 20, 2017 TO: ICI Members Bank-Affiliated Member Advisory Committee SEC Rules Committee RE: Treasury Department Issues First Report in a Series on Financial Regulatory Reform The Treasury Department recently issued a report entitled A Financial System That Creates Economic...

[30746] June 19, 2017 TO: ICI Members Investment Company Directors ICI Global Members Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Principal Underwriters Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[30740] June 9, 2017 TO: ICI Members ICI Global Members SUBJECTS: Compliance Derivatives Disclosure Fund Accounting & Financial Reporting Pension Trading and Markets Variable Insurance Products RE: ICI Recommended Priorities for SEC ICI staff met with the SEC’s new Chairman, Jay...

[30732] June 6, 2017 TO: Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee RE: Member Call on Chair Clayton's Public Statement - June 12, 3-4pm ET As you know, SEC Chair Jay Clayton issued a public statement [1] last week requesting...

[30728] June 5, 2017 TO: Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Principal Underwriters Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: Draft ICI Comment Letter to FINRA in Response to Special Notice -...

[30725] June 2, 2017 TO: ICI Members Investment Company Directors ICI Global Members Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure Distribution Fees and Expenses Investment Advisers Operations Pension RE: SEC...