SEC Rules Content

[30469] December 12, 2016 TO: ICI Members Equity Markets Advisory Committee ICI Global Trading & Markets Committee SEC Rules Committee SUBJECTS: Cybersecurity Trading and Markets RE: SEC Approves National Market System Plan to Implement the Consolidated Audit Trail The Securities and...

[30457] December 6, 2016 TO: Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter to SEC on Proposed Universal Proxy Requirements - Your Comments Requested by December 13 As you know, the SEC recently issued proposed amendments...

[30456] December 6, 2016 TO: ICI Members Investment Company Directors Accounting Policy Subcommittee Accounting/Treasurers Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Independent Directors Council SUBJECTS: Exchange-Traded Funds (ETFs) Valuation RE: SEC...

Today the ICI filed the attached comment letter to the Securities and Exchange Commission (“SEC”) in response to its proposed rule to amend the securities settlement cycle.

[30434] November 30, 2016 TO: Investment Company Directors SUBJECTS: Litigation & Enforcement RE: Court Rules That Trustees Cannot Rely on Attorney-Client Privilege in Section 36(b) Action The United States District Court in the Western District of Washington at Seattle recently...

[30421] November 23, 2016 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Fees and Expenses Fund Governance Operations RE: SEC Approves NYSE Amendments to Processing Fees for Shareholder Report Delivery The Securities and Exchange Commission recently approved...

[30408] November 18, 2016 TO: Derivatives Markets Advisory Committee Fixed-Income Advisory Committee ICI Global Regulated Funds Committee Money Market Funds Advisory Committee SEC Rules Committee RE: Draft Comment Letter on FDIC Proposal on Stays in Qualified Financial Contracts of...

[30399] November 15, 2016 TO: Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: Member Call on November 21 to Discuss SEC's Proposed Universal Proxy Requirements As you know, the SEC recently issued proposed amendments to the federal proxy rules...

[30382] November 3, 2016 TO: ICI Members SUBJECTS: Disclosure Fees and Expenses Fund Accounting & Financial Reporting RE: ICI Comment Letter On SEC Proposed Changes To Regulations S-X The SEC recently proposed amendments to certain of its disclosure requirements that may have become...

[30380] November 2, 2016 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Investment Advisers RE: SEC Approves Amendments to FINRA Communications With the Public Rules The SEC has approved amendments to FINRA Rules 2210, 2213, and 2214. [1] The final amendments are largely...