SEC Rules Content

[32906] November 10, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Advertising Closed-End Funds Disclosure Fund Accounting & Financial Reporting Trading and Markets RE: Private Market Update: SEC Adopts Changes to Exempt Offering Framework The Securities and Exchange...

[32901] November 6, 2020 TO: ICI Members ESG Advisory Group ESG Task Force (Global) SUBJECTS: Disclosure ESG Financial Stability Fund Accounting & Financial Reporting Valuation RE: SEC Commissioner Lee Speaks on the SEC's Regulatory Responsibilities Regarding Climate Change Risks SEC...

[32900] November 5, 2020 TO: ICI Members Investment Company Directors Operations Committee SEC Rules Committee Securities Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: COVID-19 Fund Governance Operations Transfer Agency RE: AMAC Recommends that SEC Change...

[32893] November 4, 2020 TO: ICI Global Members ESG Task Force (Global) ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia SUBJECTS: Disclosure ESG International/Global RE: Asia ESG: HK SFC Consultation on Climate Risk Requirements for Asset Managers The...

[32891] November 3, 2020 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Closed-End Investment Company Committee Disclosure Working Group ETF (Exchange-Traded Funds) Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent...

[32890] November 3, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Alternative Investments Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Financial Stability Fund Governance Recordkeeping Risk Oversight RE: SEC's New Rule on Funds' Use of Derivatives...

[32886] November 2, 2020 TO: ICI Members Investment Company Directors 1940 Act Derivatives Working Group SUBJECTS: Alternative Investments Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Financial Stability Fund Governance Recordkeeping Risk Oversight...

[32884] November 2, 2020 TO: SEC Rules Committee RE: Registration Open for December 15th Virtual Meeting of SEC Rules Committee On Tuesday, December 15th, at 1:00 pm ET, ICI will hold a virtual meeting of the SEC Rules Committee. The meeting will end by 3:30 or 4:00 pm ET. We are...

[32881] October 30, 2020 TO: ICI Members Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance CPO/CTA Derivatives Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers RE: CFTC Approves Amendments to Form...

[32869] October 28, 2020 TO: ICI Global Members ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia SUBJECTS: Disclosure Distribution International/Global MiFID, EMIR, AIFMD, UCITS V RE: European Commission's...