SEC Rules Content

[31815] June 19, 2019 TO: ICI Members Investment Company Directors ICI Global Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Internal Audit Committee Investment Advisers Committee Operations Committee Pension...

[31811] June 18, 2019 TO: SEC Rules Committee RE: Reminder - SEC Rules Committee June 26 - Agenda Attached The June SEC Rules Committee meeting will take place next week, on Wednesday, June 26th. We are pleased that our guest speaker will be Brent Fields, Associate Director of...

[31800] June 11, 2019 TO: Investment Advisers CommitteeOperations CommitteePension CommitteePension Operations Advisory CommitteePrincipal Underwriters Working GroupSEC Rules CommitteeSmall Funds CommitteeVariable Insurance Products Advisory Committee RE: ICI Member Call June 21 on...

[31801] June 11, 2019 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Technology Committee Transfer Agent Advisory Committee...

[31803] June 11, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: ICI Submits Comment Letter to SEC Recommending Ways to Improve the Fund Proxy System In 2018...

[31798] June 10, 2019 TO: ICI Members ICI Global Members Global ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ICI's Response to IOSCO ESG...

[31794] June 10, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Fund Accounting & Financial Reporting RE: ICI Files Comment Letter on SEC's Closed-End Fund Offering Reform Proposal Earlier today, ICI filed a comment letter on the Securities and Exchange...

[31790] June 5, 2019 TO: ICI Members Investment Company Directors ICI Global Members Broker/Dealer Advisory Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compensation/Remuneration...

[31776] May 28, 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 Proposal on Closed-End Fund Offering Reform; Member Comments Requested by Monday, June 3 In March...

[31778] May 28, 2019 TO: SEC Rules Committee RE: Reminder: June 26 Rules Committee Meeting - Draft Agenda Attached The next meeting of the SEC Rules Committee is scheduled for Wednesday, June 26th. We are pleased to announce that our guest speaker will be Brent Fields, Associate...