SEC Rules Content

[31959] September 11, 2019 TO: SEC Rules Committee RE: Save the Date: October 24th In-Person SEC Rules Committee Meeting and October 23rd Dinner The next meeting of the SEC Rules Committee will take place on Thursday, October 24th. This is an in-person meeting to be held at the...

[31958] September 11, 2019 TO: ICI Members Fixed-Income Advisory Committee SEC Rules Committee SUBJECTS: Fixed Income Securities Trading and Markets RE: Treasury and HUD Submit Housing Finance Reform Plans to President On September 5th, the US Department of Treasury and the US...

[31957] September 10, 2019 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...

[31952] September 10, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Investment Advisers RE: SEC Staff Announces Changes to Its Rule 14a-8 No-Action Request Process On September 6, the SEC’s Division of Corporation Finance announced changes to...

[31950] September 9, 2019 TO: Chief Risk Officer Committee SEC Rules Committee Securities Operations Advisory Committee RE: Member Call to Discuss Overstock's Upcoming Digital Preferred Stock Dividend: September 12 (4pm ET) On July 30, Overstock.com, Inc. announced that its board had...

[31939] September 5, 2019 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Compliance Exchange-Traded Funds (ETFs) Fund Governance International/Global Investment Advisers Money Market Funds Portfolio Oversight Risk Oversight Systemic Risk RE: ESMA Issues...

[31937] September 5, 2019 TO: ICI Members SUBJECTS: Audit and Attest Valuation RE: PCAOB Issues Staff Guidance on Auditing the Fair Value of Financial Instruments The PCAOB issued staff guidance for auditors as they begin to plan and perform audits under two recently adopted audit...

[31941] September 5, 2019 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Investment Advisers Committee SEC Rules Committee SUBJECTS: Compliance Investment Advisers RE: OCIE Publishes a Risk Alert Reminding Advisers of Obligations When Engaging in...

[31925] August 29, 2019 TO: ICI Global Members Global Operations Advisory Committee Global Operations Advisory Committee - Asia ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global RE: China's New Rules on...

[31923] August 28, 2019 TO: ICI Members SUBJECTS: Fund Accounting & Financial Reporting Valuation RE: AICPA Issues Accounting and Valuation Guide The AICPA recently released guidance to investment companies and their advisers regarding the valuation of, and the accounting related to...