SEC Rules Content

[32551] June 24, 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: Disclosure ESG International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE...

[32543] June 22, 2020 TO: ICI Members Investment Company Directors SUBJECTS: COVID-19 Fund Governance RE: SEC Extends Temporary Relief from In-Person Fund Board Meeting Requirement We are pleased to report that the SEC has issued an exemptive order extending the temporary relief from...

[32544] June 22, 2020 TO: Accounting/Treasurers Committee LIBOR Transition Working Group SEC Rules Committee Security Valuation Operations Committee RE: LIBOR Update: Draft Letter on Treasury Request for Comment on SOFR-Indexed Floating Rate Notes; Member Feedback Requested by June 30...

[32545] June 22, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Operations Committee Pension Committee Pension Operations...

[32542] June 18, 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...

[32540] June 18, 2020 TO: ICI Members Accounting/Treasurers Committee CCO Advisory Issues Subcommittee Chief Compliance Officer Committee LIBOR Transition Working Group SEC Rules Committee Security Valuation Operations Committee SUBJECTS: Compliance Operations RE: LIBOR Update: SEC...

[32536] June 17, 2020 TO: ICI Members Equity Markets Advisory Committee SUBJECTS: Litigation & Enforcement Trading and Markets RE: DC Circuit Court of Appeals Invalidates SEC's Transaction Fee Pilot Program On June 16, the U.S. Court of Appeals for the D.C. Circuit issued an opinion...

[32530] June 16, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group...

[32531] June 16, 2020 TO: ICI Global Members ICI Global Regulated Funds Committee SUBJECTS: Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V Pension Trading and Markets RE: High-Level Forum on the EU Capital Markets Union Publishes Final...

[32529] June 16, 2020 TO: ICI Members Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance CPO/CTA Derivatives Fund Accounting & Financial Reporting Investment Advisers RE: ICI Submits Comments on CFTC Proposal to Revise Form CPO-PQR As...