SEC Rules Content

[30684] April 27, 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 RE: CFTC Staff Issues Exemptive Relief for CTAs to...

[30663] April 5, 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...

[30665] April 5, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Disclosure Fund Accounting & Financial Reporting RE: Videos of MFIM Conference Panels on Enhanced Fund Reporting and Liquidity Risk Management Program Rules Now Available As part of ICI’s initiative to assist...

[30654] March 29, 2017 TO: SEC Rules Committee Small Funds Committee RE: SEC Proposes Requiring Use of Inline XBRL for Mutual Fund Risk/Return Summaries The SEC recently proposed requiring mutual funds to use the Inline XBRL format to tag risk/return summary information within a...

[30652] March 27, 2017 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Investment Advisers RE: ICI Submits Comment Letter on Proposed Amendments to FINRA Rule 2210 FINRA has issued a Regulatory Notice requesting comment on proposed amendments to Rule 2210...

[30650] March 23, 2017 TO: ICI Members ICI Global Members Accounting/Treasurers Committee Derivatives Markets Advisory Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee International Operations Advisory Committee Operations...

[30647] March 20, 2017 TO: ICI Members SUBJECTS: ComplianceFees and ExpensesFund Accounting & Financial Reporting Intermediary Oversight Operations Transfer Agency RE: ACTION REQUESTED - Register to Participate in the 2017 ICI Mutual Fund Transfer Agents Trends & Billing Practices...

[30631] March 9, 2017 TO: SEC Rules Committee RE: SEC Rules Committee Meeting on June 13; Dinner on June 12 for Members Attending in Person - Your Response Requested As you know, the next meeting of the SEC Rules Committee will take place on Tuesday, June 13th. The meeting will take...

[30630] March 9, 2017 TO: Advertising Compliance Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Internal Sales Managers Roundtable Sales and Marketing Committee SEC Rules Committee Small Funds Committee RE: ICI Draft Comment Letter on...

[30624] March 7, 2017 TO: ICI MembersInvestment Company Directors SUBJECTS: Fees and ExpensesFund GovernanceInvestment Advisers Litigation & Enforcement RE: District Judge Rules for Defense in Section 36(b) Case On February 28, a federal judge ruled in favor of the defense in Kasilag...