SEC Rules Content

[33126] February 23, 2021 TO: ICI Members Chief Compliance Officer Committee Chief Risk Officer Committee Operations Committee SEC Rules Committee SUBJECTS: Litigation & Enforcement RE: SEC Files a Civil Action Against Morningstar Credit Ratings LLC for Violations of the Federal...

[33110] February 17, 2021 TO: ICI Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Securities Operations Advisory Committee Security Valuation Operations Committee Small Funds Committee Transfer...

[33113] February 17, 2021 TO: ICI MembersICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Compliance Investment Advisers RE: ICI Submits Comment Letter to FTC on Aggregation Rule ICI submitted a comment letter on February 1 to the Federal Trade Commission (FTC or...

[33109] February 17, 2021 TO: SEC Rules Committee RE: Reminder: February 24th Virtual Meeting of SEC Rules Committee - Agenda Attached On Wednesday, February 24th, from 1:00-3:30 pm ET, ICI will hold a virtual meeting of the SEC Rules Committee. An agenda for the meeting is attached...

[33108] February 16, 2021 TO: ICI Members ICI Global Members ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: UK Treasury Issues Consultation on Safe Harbor for Benchmarks Regulation The UK HM...

[33103] February 12, 2021 TO: Fixed-Income Advisory Committee SEC Rules Committee RE: Your Comments Requested: Letter on SEC Proposed Government Securities ATS Rule and Fixed Income Electronic Trading Concept Release As we previously informed you, the Securities and Exchange...

[33091] February 5, 2021 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Fixed-Income Advisory Committee Investment Advisers Committee SEC Rules Committee Securities Operations Advisory Committee Small Funds Committee SUBJECTS: Audit and...

[33090] February 5, 2021 TO: ESG Advisory Group ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee RE: Summary of Brookings Event Featuring Larry Fink and Mary Schapiro On February 2, 2021, Brookings sponsored the following event: “Climate change and financial...

[33088] February 4, 2021 TO: ICI Members Investment Company Directors SUBJECTS: Advertising Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Fees and Expenses Fund Accounting & Financial Reporting Fund Governance Money Market Funds Operations Transfer Agency Unit Investment...

[33077] February 1, 2021 TO: ICI Members ICI Global Members ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: European Parliament Adopts Amendments to Benchmarks Regulation The European Union...