SEC Rules Content

[32595] July 13, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Financial Stability Investment Advisers Trading and Markets RE: ICI Files Comment Letter with CFTC on Proposed Amendments to Part 190 Bankruptcy Regulations ICI has filed a comment...

[32596] July 13, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure ESG International/Global Investment Advisers Portfolio Oversight Risk Oversight RE: Monetary Authority of Singapore (MAS) Proposes Environmental Risk...

[32594] July 10, 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 Committee...

[32593] July 9, 2020 TO: ICI Members ESG Task Force SUBJECTS: Disclosure ESG RE: ESG-Related Developments in the US Summarized below are (i) SEC Chairman Clayton’s statements on an ESG-related webinar; [1] (ii) SEC Commissioner Roisman’s speech on ESG matters, which also included an...

[32589] July 8, 2020 TO: ICI Members Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Operations RE: SEC Adopts Expedited Procedure for Exemptive Order...

[32585] July 7, 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 Advisory...

[32581] July 6, 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 Advisory...

[32584] July 6, 2020 TO: ICI Global Members ESG Task Force 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 Advisers MiFID...

[32583] July 6, 2020 TO: ICI MembersAccounting/Treasurers Committee LIBOR Transition Working Group SEC Rules Committee Security Valuation Operations Committee SUBJECTS: Compliance Fund Accounting & Financial Reporting Valuation RE: LIBOR Update: ICI Submits Comment Letter on Treasury...

[32579] July 2, 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 Committee...