SEC Rules Content

[30722] May 30, 2017 TO: Pension Committee Pension Operations Advisory Committee SEC Rules Committee RE: ICI Form of Amendment to Assist Members Offering "Clean Shares" ICI, with member input, has developed the attached form of amendment to assist members that are considering offering...

[30718] May 25, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Recordkeeping Technology & Business Continuity Trading and Markets RE...

[30714] May 23, 2017 TO: SEC Rules Committee RE: Reminder - June 13 SEC Rules Committee Meeting; Draft Agenda Attached As you know, the next meeting of the SEC Rules Committee will take place on Tuesday, June 13th . The meeting will take place at the Investment Company Institute, 1401...

[30712] May 22, 2017 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Small Funds Committee Technology Committee SUBJECTS: Compliance Cybersecurity Investment Advisers Technology & Business Continuity RE: SEC Publishes Risk Alert...

[30704] May 16, 2017 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Disclosure Technology & Business Continuity RE: ICI Files Comment Letter with SEC on Proposed iXBRL Requirements On May 16, 2017, ICI filed a comment letter with the Securities and Exchange...

[30691] May 3, 2017 TO: SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter to SEC on Proposed iXBRL Requirements -- Your Comments Requested by Wednesday, May 10 As you know, the SEC recently proposed requiring the use of Inline eXtensible Business Reporting...

[30690] May 2, 2017 TO: SEC Rules Committee RE: Guest Speakers Announced for June 13 SEC Rules Committee Meeting; Last Chance to Register for June 12 Dinner for Members Attending in Person As you know, the next meeting of the SEC Rules Committee will take place on Tuesday, June 13th...

[30688] May 1, 2017 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Investment Advisers RE: FINRA Issues Guidance on Social Media and Digital Communications FINRA has issued a Regulatory Notice offering guidance on social networking websites and business...

[30685] April 28, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Compliance State Issues RE: Indiana Converts from Sales-Based Fee to a Flat $900 Fee Effective July 1, 2017 Effective July 1, 2017, Subsections 23-19-3-2(2)(a) and (f) of Indiana’s Securities Act, which...

[30686] April 28, 2017 TO: ICI Members Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Closed-End Funds Compliance RE: SEC Staff Provides No-Action Position to Closed-End Feeder Fund from Paying Certain...