SEC Rules Content

The Public Company Accounting Oversight Board (PCAOB) recently issued a proposal for public comment, which would amend auditing standard AS 2405 pertaining to an auditor's responsibility in assessing a company's noncompliance with laws and regulations, including instances of fraud...

On June 28, the Federal Trade Commission (FTC) issued a proposed rule to amend the Hart-Scott-Rodino (HSR) premerger notification rules to reorganize and add new information and documentation requirements for HSR filings. The proposal would not expand the scope of "person" that is...

On June 22, 2023, the Financial Stability Board (FSB) published a consultation on Enhancing Third-Party Risk Management and Oversight: A toolkit for financial institutions and financial authorities. Comments are due on August 22, 2023, and ICI plans to submit a response. The FSB is...

On 5 July, the Financial Stability Board (FSB) and International Organization of Securities Commissions (IOSCO) each published consultations on liquidity risk management in open-ended funds (OEFs). The FSB and IOSCO are accepting feedback on the consultations by 4 September.

We invite you to join us for state ESG-related webinars on July 18 and 20. These webinars are free to attend and an exclusive opportunity for ICI members.

As you may recall, in February, when the SEC's Division of Examinations published its 2023 Examination Priorities, listed under "Notable New and Significant Focus Areas" was compliance with rules recently adopted under the Investment Company Act of 1940 and the Investment Advisers Act...

A reminder that, on Tuesday, July 11, from 12:00-3:30 pm ET, ICI will hold a members-only meeting of the SEC Rules Committee. We will hold the meeting in person in Washington, DC, with the option to participate virtually.

The Office of Information and Regulatory Affairs released the Spring 2023 Unified Agenda of Regulatory and Deregulatory Actions on June 13, 2023. The agenda includes regulatory actions that the Securities and Exchange Commission and Commodity Futures Trading Commission expect to take...

On Tuesday, July 11, from 12-3:30 pm ET, ICI will hold a members-only meeting of the SEC Rules Committee. We will hold the meeting in person in Washington, DC, with the option to participate virtually. For members attending the meeting in person, we plan to hold a happy hour reception...