SEC Rules Content

[32759] September 15, 2020 TO: ESG Task Force (Global) ESG Working Group (US) ICI Global Regulated Funds Committee SEC Rules Committee RE: Agenda for Member Call on 16 September on CFA Consultation on ESG Product Disclosure Standard CFA Institute recently launched a consultation on...

[32755] September 14, 2020 TO: ICI Members Accounting/Treasurers Committee Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee Money Market Funds Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory...

[32753] September 11, 2020 TO: Global Advocacy Coordination Advisory Committee Global Operations Advisory Committee Global Operations Advisory Committee - Asia ICI Global Investing Subcommittee ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia ICI Global...

[32748] September 9, 2020 TO: ICI Members ICI Global Members SUBJECTS: Audit Committees Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight International/Global Investment Advisers Risk Oversight RE: President's Working Group Submits...

The CFTC Divisions of Swap Dealer and Intermediary Oversight (DSIO), Market Oversight (DMO), and Clearing and Risk (DCR) recently revised and expanded previously-issued no-action letters that provide relief to swap dealers (SDs) and other market participants related to the transition...

[32743] September 4, 2020 TO: ICI Members SEC Rules Committee SUBJECTS: Closed-End Funds Compliance Distribution RE: SEC Adopts Expanded Accredited Investor and Qualified Institutional Buyer Definitions The Securities and Exchange Commission recently updated the definitions of...

[32738] September 3, 2020 TO: ICI Members ICI Global Members ESG Task Force (Global) ESG Working Group (US) ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Disclosure ESG International/Global RE: CFA Consultation on ESG Product Disclosure Standard; Member Call on 16...

[32736] September 2, 2020 TO: ICI Members SUBJECTS: Derivatives Disclosure Fund Accounting & Financial Reporting International/Global Portfolio Oversight RE: ICI Supplemental Comment Letter on SEC's Fund Names Rule As we previously informed you, the SEC published a release (“Release”)...

[32733] September 2, 2020 TO: SEC Rules Committee RE: Reminder: September 11 SEC Rules Committee Call - Draft Agenda Attached A reminder that ICI will hold a call of the SEC Rules Committee on Friday, September 11th, from 2:00-3:30 pm ET. We have extended the length of the call to 1½...

[32729] September 1, 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 Unit Investment Trust...