SEC Rules Content

[33487] April 19, 2021 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure ESG Fund Governance Investment Advisers Operations Portfolio Oversight Transfer Agency RE: SEC Reopens Comment Period for Its 2016 Universal Proxy Proposal In 2016, the SEC proposed...

[33486] April 19, 2021 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Staff Announces Termination of March 2020...

[33485] April 19, 2021 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee Pension Operations...

[33462] April 15, 2021 TO: ICI Members ESG Advisory Group ESG Task Force SEC Rules Committee SUBJECTS: Disclosure ESG International/Global RE: SEC Commissioner Hester Peirce Statement on ESG Metrics On April 14, 2021, SEC Commissioner Hester Peirce issued a statement expressing...

[33457] April 14, 2021 TO: ICI Members Chief Compliance Officer Committee Investment Advisers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance CPO/CTA Derivatives Intermediary Oversight Investment Advisers RE: New NFA Rule and Interpretive Notices Regarding CPOs...

To assist funds in implementing new Rule 12d1-4 under the Investment Company Act of 1940, attached are two sample form of Fund of Funds Investment Agreements that can be used between acquiring funds and acquired funds. One version of the form contains footnotes while the other version...

[33384] March 25, 2021 TO: Disclosure Working Group ESG Advisory Group ESG Task Force SEC Rules Committee RE: ESG-Related Workstreams: Members Invited to Participate ICI is launching two workstreams related to ESG disclosures, and we would like to know if you are interested in...

[33345] March 23, 2021 TO: ICI Members SUBJECTS: Compliance Disclosure Transfer Agency RE: SEC Institutes Proceedings to Determine Whether to Approve or Disapprove NYSE's Proposed Rule Change to Move Responsibility to FINRA for Processing Fee Schedule As we previously reported to you...

[33344] March 23, 2021 TO: ICI Members ESG Advisory Group ESG Task Force SEC Rules Committee SUBJECTS: ESG RE: Summary of SEC's March 19 AMAC Meeting The SEC’s Asset Management Advisory Committee (AMAC) met on March 19. The agenda [1] covered discussions of: (1) the ESG Subcommittee...