SEC Rules Content

On Wednesday, June 23rd, from 1-3:30 pm ET, ICI will hold a virtual meeting of the SEC Rules Committee. If you plan to attend the June meeting, please visit our registration site at https://cvent.me/PWBnAv. Please include on the online registration form any particular topics you would...

We wanted to inform you about a recent development related to Executive Order 13959. As a reminder, President Trump on November 12, 2020, issued Executive Order 13959 prohibiting by any US person "any transaction in publicly traded securities, or any securities that are derivative of...

On March 18, 2021, the US Securities and Exchange Commission (SEC or Commission) adopted interim final form amendments to implement the disclosure and submission requirements of the Holding Foreign Companies Accountable Act (HFCA Act), which go into effect on May 5, 2021. The SEC...

On March 18, 2021, the US Securities and Exchange Commission (SEC or Commission) adopted interim final form amendments to implement the disclosure and submission requirements of the Holding Foreign Companies Accountable Act (HFCA Act), which go into effect on May 5, 2021.

[33399] March 29, 2021 TO: ICI Members ICI Global Members SUBJECTS: Audit and Attest Compliance Disclosure International/Global RE: SEC Adopts Form Amendments to Implement the Disclosure and Submission Requirements of the Holding Foreign Companies Accountable Act The US Securities and...

[33503] April 26, 2021 TO: ICI Members SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting RE: SEC Staff Updates Fund Reporting FAQs to Address the Computation of Certain Securities Lending Information on Form N-CEN The Division of Investment Management of the...

[33501] April 26, 2021 TO: Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: Member Call to Discuss the SEC's Re-Opening of the Universal Proxy Proposal Comment Period - Tuesday, May 4 at 1 pm (Eastern) As previously reported, the Securities and...

[33499] April 26, 2021 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: Member Call to Discuss NYSE's Proposed Rule Change Limiting Listed Closed...

In December, the SEC adopted new Rule 2a-5 (the “fair value rule”) under the Investment Company Act, which addresses the fair valuation responsibilities of funds and their boards and advisers.

[33448] April 12, 2021 TO: ICI Members ICI Global Members SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: New York Governor Signs LIBOR Tough Legacy Legislation On April 6, New York Governor Andrew Cuomo signed legislation to provide replacement benchmark rates...