SEC Rules Content

[32727] September 1, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee Privacy Issues Working Group SEC Rules Committee SUBJECTS: Pension RE: DOL Issues Proposal on Fiduciary Duties Regarding Proxy Voting and Shareholder Rights The Department of Labor (DOL)...

[32728] September 1, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent...

[32719] August 28, 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 Trading & Markets Committee SEC Rules...

[32721] August 28, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Financial Stability International/Global RE: ICI Global Files Comment Letter on ESMA's Consultation Providing Guidelines for Regulating Alternative Investment Fund...

[32714] August 27, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee Securities Operations Subcommittee SUBJECTS: Compliance Derivatives International/Global Investment Advisers...

[32710] August 26, 2020 TO: ICI Members Disclosure Working Group Operations Committee SEC Rules Committee SUBJECTS: Compliance Disclosure Operations RE: SEC Proposes Rule to Promote the Reliability and Integrity of EDGAR Submissions On August 21, the Securities and Exchange Commission...

[32703] August 25, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee Pension Operations...

[32706] August 25, 2020 TO: ICI Global Regulated Funds Committee LIBOR Transition Working Group SEC Rules Committee RE: LIBOR Update: Draft Comment Letter on European Commission Benchmark Regulation Proposal; Member Feedback Requested by September 15 As previously reported, the...

[32704] August 25, 2020 TO: ICI Global Members ESG Task Force (Global) EU ESG Disclosure Regulation Working Group EU Sustainable Finance Strategy Working Group ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution ESG International/Global Investment...

[32699] August 24, 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 Committee...