SEC Rules Content

[31705] April 9, 2019 TO: ICI Members Investment Company Directors Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Disclosure Investment Advisers Operations Trading and Markets RE: CFTC Adopts Amendments to Notification Requirements for Segregation of Margin...

[31697] April 3, 2019 TO: ICI Members Chief Compliance Officer Committee Disclosure Working Group SEC Rules Committee SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Money Market Funds Variable Insurance Products RE: Division of Investment Management Staff Bulletin on 485...

[31696] April 3, 2019 TO: ICI Global Members Global ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Disclosure International/Global RE: EU ESG Disclosure Regulation: Final Text The European Parliament’s ECON committee has finally approved the trilogue agreement on the...

[31695] April 2, 2019 TO: ICI Members Closed-End Investment Company Committee SUBJECTS: Closed-End Funds Compliance Disclosure RE: SEC Proposes Amendments to Closed-End Fund Offering and Reporting Requirements; Member Call Scheduled for Tuesday, April 16 at 2 pm (Eastern) The...

[31685] March 28, 2019 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Cybersecurity Derivatives Fund Accounting & Financial Reporting Investment Advisers Operations Risk Oversight RE: Updates on...

[31678] March 26, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Fund Accounting & Financial Reporting Investment Advisers Operations Unit Investment Trusts (UITs) Variable Insurance Products RE: SEC Adopts FAST Act-Related Disclosure Amendments for Funds and...

[31676] March 25, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Systemic Risk RE: FSOC Proposal to Reform Nonbank SIFI Designation Process and Related ICI Congressional Testimony Over the past several months, the Financial Stability Oversight Council (FSOC) has been...

[31677] March 25, 2019 TO: SEC Rules Committee RE: Reminder - SEC Rules Committee Meeting April 3; Draft Agenda Attached We look forward to your participation at our SEC Rules Committee meeting next week on Wednesday, April 3, 2019. We are very pleased that SEC Commissioner Hester...

[31673] March 21, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Disclosure Fund Accounting & Financial Reporting RE: ICI Files Comment Letter on SEC Public Company Reporting Regime Last December, the Securities and Exchange Commission requested public comment on the...

[31661] March 21, 2019 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee International Operations Advisory Committee Operations Committee Series Trust Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...