SEC Rules Content

[32982] December 14, 2020 TO: Accounting/Treasurers Committee ESG Advisory Group ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee RE: FOR REVIEW: Draft Response to IFRS Consultation on Creation of New Sustainability Standards Board Attached for your review is...

[32968] December 8, 2020 TO: ICI Members Investment Company Directors ICI Global Members LIBOR Transition Working Group SUBJECTS: Alternative Investments Bank Regulation Closed-End Funds COVID-19 Exchange-Traded Funds (ETFs) Financial Stability Fixed Income Securities Investment...

[32967] December 7, 2020 TO: ICI Members ICI Global Members ESG Advisory Group ESG Task Force EU ESG Disclosure Regulation Working Group SEC Rules Committee SUBJECTS: ESG Fund Governance Investment Advisers Unit Investment Trusts (UITs) Variable Insurance Products RE: ICI Board of...

[32965] December 4, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Investment Advisers Operations Recordkeeping Risk Oversight Valuation RE: SEC...

[32956] December 2, 2020 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Closed-End Investment Company Committee Disclosure Working Group ETF Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory...

[32952] December 1, 2020 TO: ICI Members Chief Compliance Officer Committee SUBJECTS: Compliance RE: OCIE Updates: The 2020 National Outreach Program; the Director's Views About CCOs; and OCIE's Risk Alert Containing Observations on Advisory Compliance Programs This memo is intended...

[32950] November 30, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: Extension of USD LIBOR and Further Information...

[32949] November 30, 2020 TO: SEC Rules Committee RE: Reminder: December 15th Virtual Meeting of SEC Rules Committee - Draft Agenda Attached On Tuesday, December 15th, from 1:00-4:00 pm ET , ICI will hold a virtual meeting of the SEC Rules Committee. We are pleased to have as our...

[32948] November 27, 2020 TO: Derivatives Markets Advisory Committee LIBOR Transition Working Group SEC Rules Committee SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: Updates from the CFTC On November 24, 2020, CFTC Chairman Heath Tarbert issued a statement on...

[32943] November 24, 2020 TO: Accounting/Treasurers Committee ESG Advisory Group ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee RE: ICI Responding to IFRS Consultation on Creation of New Sustainability Standards Board As you may be aware, the International...