SEC Rules Content

[32164] January 21, 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: Compliance Disclosure Investment Advisers...

[32162] January 17, 2020 TO: Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee Investment Advisers Committee Operations Committee Proxy Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE...

[32157] January 16, 2020 TO: SEC Rules Committee RE: Registration Open for February 26 SEC Rules Committee Meeting The next meeting of the SEC Rules Committee is scheduled for Wednesday, February 26th. We are pleased to announce that our guest speakers will be Sarah ten Siethoff...

[32158] January 16, 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: Updated Global ESG-Related...

[32156] January 16, 2020 TO: ICI Members Investment Company Directors ICI Global Members Management Company Tax Subcommittee Pension Committee Public Communications Committee Tax Advisory Committee Tax Committee SUBJECTS: 529 Plans Derivatives Distribution Fees and Expenses Operations...

[32149] January 16, 2020 TO: Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee RE: ICI Draft Comment Letter on SEC Advisers Act Advertising and Cash Solicitation Rule Proposal; Feedback...

[32152] January 16, 2020 TO: ICI Global Members Global Operations Advisory Committee - Asia ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Alternative Investments Compliance Disclosure Distribution Fees and Expenses International/Global Investment Advisers...

[32146] January 14, 2020 TO: ICI Members Chief Compliance Officer Committee Compliance Advisory Committee SUBJECTS: Investment Advisers Litigation & Enforcement RE: SEC Fines Another Broker-Dealer/Investment Adviser for Recommending More Expensive Share Classes The Securities and...

[32141] January 13, 2020 TO: ICI Global Members Global Operations Advisory Committee ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers Litigation & Enforcement Trading and Markets RE...

[32137] January 10, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance RE: SEC Proposes Amendments to Auditor Independence Rule On December 30, the Securities and Exchange Commission issued for public comment proposed amendments to...