SEC Rules Content

[33045] January 14, 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...

[33036] January 12, 2021 TO: ICI Members SUBJECTS: Compliance Disclosure Transfer Agency RE: ICI Letter on NYSE Proposal to Move Responsibility to FINRA for Processing Fee Schedule Attached is a letter that the ICI filed with the SEC, supporting the New York Stock Exchange’s proposed...

[33028] January 7, 2021 TO: Fixed-Income Advisory Committee Money Market Funds Advisory Committee SEC Rules Committee RE: FINRA Requests Comment on Enhancements to TRACE Reporting of Transactions in US Treasury Securities - ICI Member Call on January 15 at 2:00 pm ET On December 23...

[33026] January 7, 2021 TO: SEC Rules Committee Transfer Agent Advisory Committee RE: Request to Consider Filing a Letter Similar to Draft ICI Letter on NYSE Proposal to Eliminate Processing Fee Schedule Attached for your review is a draft letter that the ICI plans on filing this...

[33021] January 5, 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...

[33015] January 4, 2021 TO: ICI Members ICI Global Members Accounting/Treasurers Committee ESG Advisory Group ESG Task Force ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia SEC Rules Committee SUBJECTS: Disclosure ESG International/Global RE: ICI...

[33016] January 4, 2021 TO: ICI Members Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SUBJECTS: Advertising Compliance Disclosure Investment Advisers Operations Recordkeeping RE: SEC Adopts Amendments to Advisers Act...

[33005] December 22, 2020 TO: ICI Members ICI Global Members SUBJECTS: Derivatives Financial Stability International/Global RE: ESMA Issues Guidelines for Regulating Alternative Investment Fund Leverage The European Securities and Markets Authority last week issued its final report...

On December 21, 2020, Securities and Exchange Commission (“Commission”) Chairman Jay Clayton issued a statement announcing that the Commission’s Division of Trading and Markets released its staff report on the Fixed Income Market Structure Advisory Committee’s work over the past year...

[33004] December 22, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee...