SEC Rules Content

[33071] January 27, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[33073] January 27, 2021 TO: ESG Advisory Group ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee RE: ICI Submits Letter Responding to TCFD Forward-looking Financial Sector Metrics Consultation ICI submitted the attached response to the Task Force on Climate...

[33072] January 27, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[33067] January 26, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[33063] January 25, 2021 TO: SEC Rules Committee RE: Registration Now Open for February 24th Virtual Meeting of SEC Rules Committee On Wednesday, February 24th, from 1:00 pm-3:30 pm ET, ICI will hold a virtual meeting of the SEC Rules Committee. We are pleased to have as guest...

[33059] January 21, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[33055] January 20, 2021 TO: ICI Members Equity Markets Advisory Committee SUBJECTS: Litigation & Enforcement Trading and Markets RE: ICI Files Amicus Brief Supporting the SEC's Order to Reform NMS Equity Data Plan Governance The Investment Company Institute (ICI) recently filed the...

[33057] January 20, 2021 TO: ICI Members ICI Global Members LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: ICI Submits Responses to the ICE Benchmark Administration and UK Financial Conduct Authority Consultations This week, ICI...

[33053] January 19, 2021 TO: ICI Members Equity Markets Advisory Committee Fixed-Income Advisory Committee Investment Advisers Committee Money Market Funds Advisory Committee SEC Rules Committee SUBJECTS: Fixed Income Securities Investment Advisers Trading and Markets RE: SEC Approves...

[33044] January 14, 2021 TO: ESG Advisory Group ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee RE: Draft ICI Letter on TCFD Forward-Looking Financial Sector Metrics Consultation Attached for your review is a draft response to the Task Force on Climate-related...