SEC Rules Content

[32433] May 4, 2020 TO: ICI Members SUBJECTS: Alternative Investments Closed-End Funds Compliance Derivatives Fund Accounting & Financial Reporting Investment Advisers RE: CFTC Proposes Revisions to Periodic Reporting Requirements for Commodity Pool Operators The Commodity Futures...

[32435] May 4, 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 Municipal Securities Advisory Committee Operations Committee...

[32436] May 4, 2020 TO: ICI MembersICI Global Members SUBJECTS: Exchange-Traded Funds (ETFs)Fixed Income SecuritiesInvestment AdvisersMoney Market FundsMunicipal SecuritiesSystemic RiskTrading and Markets RE: UPDATED Reference Guide: Federal Reserve Funding Facilities Established in...

[32434] May 4, 2020 TO: ICI Members ICI Global Members SUBJECTS: Derivatives International/Global Systemic Risk RE: ESMA Issues Consultation Paper on Framework for Regulating Alternative Investment Fund Leverage; Member Call Scheduled for Thursday, May 21 at 10 am (Eastern Time) The...

[32431] May 1, 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...

[32426] April 29, 2020 TO: ICI Global Members ESG Task Force Global Advocacy Coordination Advisory Committee ICI Global Regulated Funds Committee SUBJECTS: Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ICI Global Call (7 May) on EU...

[32424] April 28, 2020 TO: ICI Global Members ICI Global Investing Subcommittee ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compliance Distribution International/Global Investment Advisers Operations RE: China Launched Consultation on New Investment...

[32423] April 28, 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...

[32419] April 27, 2020 TO: Accounting/Treasurers Committee SEC Rules Committee Security Valuation Operations Committee Small Funds Committee RE: ICI Call to Discuss SEC's Fair Valuation Proposal: May 7 at 2:00 pm ET On April 21, the SEC proposed new Rule 2a-5 under the Investment...

[32420] April 27, 2020 TO: ICI Members Variable Insurance Products Advisory Committee SUBJECTS: Disclosure Variable Insurance Products RE: SEC Staff Guidance on Discontinued Variable Insurance Product Contracts On April 22, 2020, the staff of the SEC Division of Investment Management...