SEC Rules Content

[32239] February 25, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fees and Expenses Fund Governance Intermediary Oversight Operations Transfer Agency RE: Industry Working Groups Examining How to Reform Proxy Plumbing...

[32238] February 25, 2020 TO: Operations Committee Proxy Working Group SEC Rules Committee RE: Industry Working Groups Examining How to Reform Proxy Plumbing; March 9 Call to Discuss OBO/NOBO Account Opening Disclosure Initiative The SEC published two pieces of proxy-related guidance...

[32232] February 24, 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 Releases...

[32227] February 21, 2020 TO: ICI MembersInvestment Company Directors SUBJECTS: Advisory Contract Renewal Compliance Disclosure Fund Governance Investment Advisers RE: Diverse Investment Advisers Act We want to inform you about proposed legislation known as the Diverse Investment...

[32229] February 21, 2020 TO: ICI Members Investment Company Directors 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: EU Disclosure Regulation...

[32225] February 20, 2020 TO: SEC Rules Committee RE: ICI Draft Comment Letter on SEC Proposal to Update Accredited Investor and Qualified Institutional Buyer Definitions - Your Comments Requested by March 3 In December, the Securities and Exchange Commission issued a proposal to...

[32220] February 20, 2020 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee SUBJECTS: Compliance Fund Governance Investment Advisers RE: SEC Issues Exemptive Order on Section 15(c) In-Person Board Voting Requirement for Certain Sub-Advisory Contracts The...

[32219] February 19, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Compensation/Remuneration Compliance Disclosure...

[32203] February 10, 2020 TO: ICI Members Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Advertising Compliance Disclosure Operations Recordkeeping RE: Investment Company...

[32201] February 7, 2020 TO: ICI Members ICI Global Members SUBJECTS: Compliance International/Global Investment Advisers RE: US Federal Reserve Adopts Final Rule on "Control" Determinations Under Certain Banking Laws; Implications for Regulated US and Non-US Funds The US Federal...