SEC Rules Content

[32040] November 6, 2019 TO: Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter on SEC's Proposal for Exemptive Order Applications; Comments Due November 14 As previously reported, the...

[32033] November 4, 2019 TO: Closed-End Investment Company Committee Fixed-Income Advisory Committee ICI Global Trading & Markets Committee SEC Rules Committee RE: SEC Chairman Issues Statement Requesting Public Input on Disclosure Requirements for Residential Mortgage-Backed...

[32032] November 1, 2019 TO: ICI Members Closed-End Investment Company Committee SUBJECTS: Closed-End Funds Disclosure Operations RE: SEC Proposes Rule and Form Changes to Modernize Filing Fee Payment The SEC recently proposed rule and form changes intended to modernize filing fee...

[32028] October 29, 2019 TO: ICI Members ICI Global Members SUBJECTS: Disclosure Fund Governance International/Global RE: ESG Webinar Recording and Online Resource Center Now Available The recording and slides from last week’s ESG webinar are now available at https://www.ici.org...

[32021] October 24, 2019 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Sales and Marketing Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[32019] October 22, 2019 TO: ICI Members Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Operations RE: SEC Proposes New Procedures for Exemptive Order...

[32017] October 21, 2019 TO: ICI Members Chief Compliance Officer Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Privacy Issues Working Group SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Privacy State Issues RE: Important...

[32003] October 9, 2019 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee ICI Global Tax Committee SEC Rules Committee Tax Committee RE: Information About SEBI's New Regulations for Foreign Portfolio Investors On September 23, 2019, the Securities and Exchange...

[31993] October 4, 2019 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Disclosure Exchange-Traded Funds (ETFs) Money Market Funds Transfer Agency Variable Insurance Products RE: ICI Letter on Member Firms' Preferences and Costs Associated with SEC Staff's...

[31988] September 30, 2019 TO: ICI Global Members SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Update on ESMA Work to Develop Regulatory Technical Standards for EU Disclosure Regulation The EU co-legislators...