SEC Rules Content

[32475] May 21, 2020 TO: ICI Members SUBJECTS: Compliance Disclosure RE: SEC Staff Updates FAQs Related to COVID-19 The staff of the SEC’s Division of Investment Management recently updated its frequently asked questions concerning the COVID-19 crisis. [1] Since the staff initially...

[32463] May 15, 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...

[32464] May 15, 2020 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Fund Governance Operations Portfolio Oversight Risk Oversight Systemic Risk RE: Update on SEC COVID-19 Market Monitoring Group Initiatives On May 13, 2020, SEC Chairman Jay Clayton and Chief...

[32459] May 14, 2020 TO: Accounting/Treasurers Committee Derivatives Markets Advisory Committee LIBOR Transition Working Group SEC Rules Committee Securities Operations Advisory Committee Security Valuation Operations Committee RE: LIBOR Update: ARRC Recommendations for Swaptions On...

[32457] May 13, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Operations Transfer Agency Variable Insurance Products RE: Important Information Regarding ICI Involvement with Third-Party...

[32450] May 8, 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 RE...

[32448] May 7, 2020 TO: Accounting/Treasurers Committee Derivatives Markets Advisory Committee LIBOR Transition Working Group SEC Rules Committee Securities Operations Advisory Committee Security Valuation Operations Committee RE: LIBOR Update: ARRC Issues Best Practices for Vendor...

[32445] May 6, 2020 TO: ICI Members SUBJECTS: Derivatives Disclosure Fund Accounting & Financial Reporting International/Global Portfolio Oversight RE: ICI Comment Letter on SEC's Fund Names Rule As we previously informed you, the SEC published a release seeking public comment on the...

[32444] May 6, 2020 TO: SEC Rules Committee RE: Upcoming SEC Rules Committee Calls and Meetings - Agenda Items Requested Please mark your calendars for these upcoming events of ICI’s SEC Rules Committee! We look forward to your input and participation. If you have questions, please...

[32441] May 5, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Detailed Summary of EU Consultation on Draft Regulatory Technical...