SEC Rules Content

[31922] August 27, 2019 TO: Closed-End Investment Company Committee ICI Securities Regulation Advisory Group SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter on SEC's Concept Release on Securities Offering Exemptions; Member Comments Due on September 10 As...

[31920] August 26, 2019 TO: ICI Members Investment Company Directors ICI Global Members ICI Global Atlantic Chapter ICI Global Regulated Funds Committee Privacy Issues Working Group SEC Rules Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers Operations...

[31916] August 22, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Issues Proxy-Related Guidance to Investment Advisers and Proxy Advisory Firms On August 21...

[31907] August 19, 2019 TO: ICI Members Investment Company Directors SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Disclosure Litigation & Enforcement RE: DC Court of Appeals Denies Petition Seeking Review of SEC Rule 30e-3 On August 16, 2019, the US Court of Appeals...

[31885] August 2, 2019 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Fixed-Income Advisory Committee Municipal Securities Advisory Committee SUBJECTS: Derivatives Disclosure Fixed Income Securities Fund Accounting & Financial...

[31880] August 1, 2019 TO: ICI Members Equity Markets Advisory Committee SUBJECTS: Litigation & Enforcement Trading and Markets RE: ICI and CII File Amicus Brief Supporting the SEC's Transaction Fee Pilot for Listed Stocks The Investment Company Institute (ICI) and Council of...

[31871] July 29, 2019 TO: ICI Members SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations RE: ICI Submits Comment Letter on FINRA's Proposed Amendments to Rule 2210...

[31870] July 26, 2019 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Chief Risk Officer Committee SUBJECTS: Compliance Risk Oversight RE: Delaware Supreme Court Upholds Suit Against Directors That Failed to Monitor Corporation's Central Compliance...

[31868] July 25, 2019 TO: ICI Members ICI Global Members SUBJECTS: ComplianceInternational/Global RE: Notice of Survey of Foreign Ownership of US Securities as of June 30, 2019 The US Department of the Treasury (Treasury) issued a notice informing the public that it is conducting a...

[31866] July 23, 2019 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Investment...