SEC Rules Content

[30519] January 12, 2017 TO: ICI Members Investment Company Directors ICI Global Members Chief Risk Officer Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee SUBJECTS: Audit Committees Compliance Investment Advisers Money Market Funds RE: SEC Publishes the...

[30512] January 11, 2017 TO: ICI Members Investment Company Directors Advertising Compliance Advisory Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Pension Committee Pension Operations...

[30510] January 10, 2017 TO: ICI Members Investment Company Directors ICI Global Members Closed-End Investment Company Committee ICI Global Regulated Funds Committee ICI Global Steering Committee International Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure...

[30502] January 4, 2017 TO: ICI Members Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance RE: Medallion Signature Guarantee Considerations and Alternatives White Paper We are pleased to announce the publication of a new white paper...

[30499] January 4, 2017 TO: SEC Rules Committee RE: Notice of SEC Rules Committee Meeting February 9, 2017 The next meeting of the SEC Rules Committee has been scheduled for Thursday, February 9, 2017. The meeting will take place at the Investment Company Institute, 1401 H Street, N.W...

[30489] December 19, 2016 TO: ICI Members Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Closed-End Funds Fund Governance RE: ICI Files Comment Letter with SEC on Proposed Universal Proxy Requirements On December 19, 2016, ICI filed a...

[30485] December 16, 2016 TO: ICI Members Investment Company Directors ICI Global Members Operations Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure Distribution Fees and Expenses Intermediary Oversight Operations RE: SEC Division of Investment Management...

[30482] December 15, 2016 TO: ICI Members Accounting/Treasurers Committee End Of Day Pricing Forum SUBJECTS: Disclosure Fund Accounting & Financial Reporting RE: FASB Issues Technical Changes to Topics 820 and 946 The Financial Accounting Standards Board recently released an...

[30477] December 13, 2016 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee End Of Day Pricing Forum ETF (Exchange-Traded Funds) Committee ETF Advisory...

[30468] December 12, 2016 TO: ICI Members SUBJECTS: Compliance Fund Governance Investment Advisers RE: GAO Issues Report on Proxy Advisory Firms In November, the Government Accountability Office (“GAO”) submitted its report on proxy advisory firms’ role in voting proxies and corporate...