SEC Rules Content

[31667] March 18, 2019 TO: SEC Rules Committee RE: Draft ICI Letter on SEC Public Company Reporting Regime; Your Comments Due by March 20 As we previously informed you, the Securities and Exchange Commission has requested public comment on the content and frequency of earnings...

[31659] March 15, 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 on Proxy Voting In 2018, proxy voting policy matters took on...

[31644] March 12, 2019 TO: SEC Rules Committee RE: April 3 - Rescheduled Date for SEC Rules Committee Meeting As you know, the February meeting of the SEC Rules Committee was canceled due to a winter storm in Washington, DC. That meeting has been rescheduled for Wednesday, April 3rd...

[31638] March 5, 2019 TO: ICI Members SUBJECTS: Compliance Fees and Expenses Fund Accounting & Financial Reporting Intermediary Oversight Operations Transfer Agency RE: Action Required - Register to Participate in 2019 ICI Mutual Fund Transfer Agents Trends & Billings Practices Survey...

[31636] March 4, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Fund Accounting & Financial Reporting Investment Advisers RE: FINRA Staff Permits Pre-Inception Index Performance in Institutional Communications for Open-End Funds In late January, FINRA...

[31634] March 1, 2019 TO: ICI Members SUBJECTS: Compliance Cybersecurity Disclosure Fund Accounting & Financial Reporting Investment Advisers Recordkeeping RE: SEC Adopts Rules Modifying the Timing for Filing Non-Public Form N-PORT Data The Securities and Exchange Commission recently...

[31629] February 25, 2019 TO: Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: ICI Draft Comment Letter to SEC on Proxy Voting: Comments...

[31627] February 21, 2019 TO: ICI Members Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance RE: SEC Proposes Expanding Pre-Filing Communications with Certain Prospective Investors; Member Call...

[31616] February 15, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Disclosure Fund Governance Variable Insurance Products RE: IDC Files Comment Letter on Proposed Summary Prospectus for Variable Insurance Products IDC filed the attached letter strongly supporting the SEC...

[31615] February 15, 2019 TO: ICI Members Investment Company Directors Variable Insurance Products Advisory Committee SUBJECTS: Disclosure Fees and Expenses Investment Advisers Variable Insurance Products RE: ICI Files Comment Letter with SEC on Variable Insurance Products Summary...