SEC Rules Content

[30565] February 6, 2017 TO: ICI Members Investment Company Directors ICI Global Members Fixed-Income Advisory Committee Money Market Funds Advisory Committee SUBJECTS: Disclosure Fixed Income Securities International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V Trading and...

[30564] February 3, 2017 TO: Closed-End Investment Company Committee ICI Global Regulated Funds Committee ICI Global Steering Committee International Committee SEC Rules Committee Small Funds Committee RE: Draft ICI Response to FSB Task Force Consultation on Climate Change Disclosure...

[30557] February 1, 2017 TO: ICI Members Investment Company Directors ICI Global Members Investment Advisers Committee Pension Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure Distribution Fees and Expenses Fund Governance Intermediary Oversight Investment...

[30556] February 1, 2017 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Audit and Attest Compliance Derivatives Fund Accounting & Financial Reporting Investment...

[30553] January 31, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Pension Committee Pension Operations Advisory Committee Sales and Marketing Committee Small Funds Committee...

[30550] January 30, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Operations Advisory Committee Principal Underwriters Working Group Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[30544] January 27, 2017 TO: ICI Members SUBJECTS: Money Market Funds Systemic Risk RE: ICI Files Comment Letter on Federal Reserve Bank of Minneapolis Proposed "Shadow Bank" Tax on Regulated Funds In mid-November, the Federal Reserve Bank of Minneapolis issued for public comment a...

[30531] January 23, 2017 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Compliance Derivatives International/Global Operations Portfolio Oversight Risk Oversight Systemic Risk RE: FSB Issues Final Policy Recommendations to Address "Structural Vulnerabilities...

[30528] January 18, 2017 TO: SEC Rules Committee RE: Draft Agenda for February 9th SEC Rules Committee Meeting As you know, the next meeting of the SEC Rules Committee has been scheduled for Thursday, February 9th. We are pleased to announce that our guest speakers for this meeting...

[30518] January 12, 2017 TO: ICI Members Investment Company Directors ICI Global Members Investment Advisers Committee Pension Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure Distribution Fees and Expenses Fund Governance Intermediary Oversight Investment...