SEC Rules Content

[32489] May 29, 2020 TO: ICI Members Investment Company Directors SEC Rules Committee RE: Executive Order on Regulatory Relief to Support Economic Recovery On May 19, President Trump signed an executive order (“Order”) entitled “Regulatory Relief to Support Economic Recovery.” [1] The...

[32499] May 29, 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...

[32487] May 28, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance RE: SEC Staff Permits Funds to Opt in to State Control Share Acquisition Statutes On May 27, 2020, the Securities and Exchange Commission’s Division of Investment Management issued...

[32493] May 28, 2020 TO: ICI Global Members ESG Task Force Global Advocacy Coordination Advisory Committee ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU ESG: Consolidated...

[32490] May 28, 2020 TO: ICI Members SUBJECTS: Alternative Investments Closed-End Funds Fixed Income Securities Investment Advisers Portfolio Oversight Systemic Risk Trading and Markets RE: SEC Staff Issues No-Action Relief Related to Registered Fund Participation in the Federal...

[32491] May 28, 2020 TO: ICI Global Members ESG Task Force Global Advocacy Coordination Advisory Committee ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU ESG: Consolidated...

[32485] May 27, 2020 TO: Accounting/Treasurers Committee LIBOR Transition Working Group SEC Rules Committee Security Valuation Operations Committee RE: LIBOR Update: ARRC Best Practices and US Treasury Department Request for Comment on SOFR-Indexed Floating Rate Notes We wanted to...

[32483] May 26, 2020 TO: ICI Members ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Investment Advisers Committee Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Derivatives Disclosure Investment Advisers Trading and Markets RE: CFTC Issues COVID...

[32482] May 22, 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...

[32474] May 21, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Trading and Markets RE: CFTC's GMAC Margin Subcommittee Issues Report on...