SEC Rules Content

[32270] March 6, 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 Legislative Proposal, UK...

[32261] March 4, 2020 TO: ICI Members SUBJECTS: Derivatives Disclosure Fund Accounting & Financial Reporting International/Global Portfolio Oversight RE: SEC Requests Comment on Fund Names Rule The Securities and Exchange Commission published a release seeking public comment on the...

[32264] March 4, 2020 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee SEC Rules Committee SUBJECTS: Advisory Contract Renewal Audit Committees Fund Governance RE: SEC Guidance on Fund Board Meetings and Unforeseen or Emergency Circumstances related to...

[32262] March 4, 2020 TO: Accounting/Treasurers Committee Disclosure Working Group ESG Task Force SEC Rules Committee Small Funds Committee RE: SEC Requests Comment on Fund Names Rule; March 17th at 11am (ET) Member Call The Securities and Exchange Commission published a release...

[32256] March 2, 2020 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee SEC Rules Committee SUBJECTS: Advisory Contract Renewal Audit Committees Fund Governance RE: Coronavirus Situation and In-Person Fund Board Meetings We have received questions about...

[32254] March 2, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Disclosure Investment Advisers Trading and Markets RE: ICI Files Comment Letter with CFTC Supporting Prohibition on Post-Trade Name Give-Up In December, the Commodity Futures Trading...

[32252] February 27, 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 Consultation on Swaptions and...

[32251] February 27, 2020 TO: ICI Members Chief Compliance Officer Committee SEC Rules Committee SUBJECTS: Compliance RE: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Advisers on April 21 The SEC has announced that its Office of Compliance Inspections...

[32242] February 26, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee...

[32246] February 26, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU Launches Consultation on ESG-related Disclosure for Corporate Issuers Under...