SEC Rules Content

[30372] November 1, 2016 TO: Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee Variable Insurance Products Advisory Committee RE: SEC Proposes to Exempt Funds from Universal Proxy Requirements The SEC recently issued proposed amendments to the federal...

[30376] November 1, 2016 TO: ICI Global Members SUBJECTS: International/Global Systemic Risk RE: ICI Global Response to European Commission's Consultation on the EU Macro-prudential Framework On 1st August, 2016, the European Commission (EC) launched a public consultation to gather...

[30377] November 1, 2016 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Closed-End Funds Disclosure RE: SEC Proposes to Exempt Funds from Universal Proxy Requirements The SEC recently issued proposed amendments to the federal proxy rules that would mandate...

[30361] October 28, 2016 TO: PENSION MEMBERS No. 37-16OPERATIONS MEMBERS No. 36-16SEC RULES COMMITTEE No. 48-16SMALL FUNDS COMMITTEE No. 30-16SALES AND MARKETING COMMITTEE No. 14-16TRANSFER AGENT ADVISORY COMMITTEE No. 57-16BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 44-16BROKER...

[30338] October 24, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 20-16DERIVATIVES MARKETS ADVISORY COMMITTEE No. 64-16ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 30-16ETF ADVISORY COMMITTEE No. 29-16EQUITY MARKETS ADVISORY COMMITTEE No. 47-16FIXED-INCOME ADVISORY COMMITTEE No. 42...

[30302] October 11, 2016 TO: SEC RULES COMMITTEE No. 46-16 RE: REMINDER: SEC RULES COMMITTEE MEETING ON NOVEMBER 3RD AND DINNER ON NOVEMBER 2ND; MEETING PRELIMINARY AGENDA ATTACHED As you know, the next meeting of the SEC Rules Committee will take place on Thursday, November 3rd...

[30279] September 28, 2016 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 48-16FIXED-INCOME ADVISORY COMMITTEE No. 31-16ICI GLOBAL REGULATED FUNDS COMMITTEE No. 65-16MONEY MARKET FUNDS ADVISORY COMMITTEE No. 25-16SEC RULES COMMITTEE No. 45-16 RE: DRAFT COMMENT LETTER ON OCC PROPOSAL...

[30248] September 19, 2016 TO: SEC RULES COMMITTEE No. 43-16 RE: NOTICE OF SEC RULES COMMITTEE DINNER ON NOVEMBER 2 AND MEETING ON NOVEMBER 3, 2016 The next meeting of the SEC Rules Committee will take place on Thursday, November 3rd. This is an in-person meeting to be held at the...

[30249] September 19, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 19-16SEC RULES COMMITTEE No. 44-16 RE: DRAFT COMMENT LETTER ON SEC PROPOSED CHANGES TO REGULATION S-X, MEMBER COMMENTS REQUESTED BY SEPTEMBER 30 The SEC recently proposed amendments to certain of its disclosure...

[30237] September 12, 2016 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-16 SEC RULES COMMITTEE No. 42-16 SMALL FUNDS COMMITTEE No. 27-16 VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 20-16 RE: ICI SUBMITS COMMENT LETTER TO SEC ON NYSE PROPOSED AMENDMENT TO FEES FOR...