SEC Rules Content

[31599] February 5, 2019 TO: SEC Rules Committee RE: Member Input Requested to Inform ICI Comments on SEC Public Company Reporting Regime; Conference Call on February 21 In December, the Securities and Exchange Commission issued a request for public comment on the content and...

[31590] February 1, 2019 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Fund Accounting & Financial Reporting Intermediary Oversight Investment Advisers Portfolio Oversight Risk...

[31584] January 29, 2019 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Disclosure Investment Advisers RE: ICI Files Comment Letter With CFTC on Post-Trade Name Give-Up In November, the Commodity Futures Trading Commission (CFTC or “Commission”...

[31585] January 29, 2019 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Money Market Funds Systemic Risk RE: FSOC 2018 Annual Report to Congress - Recommendations of Interest to the Regulated Fund Industry Late last month, the US Financial Stability...

[31581] January 28, 2019 TO: SEC Rules Committee RE: Reminder: SEC Rules Committee Meeting on February 20, 2019 - Draft Agenda Attached The next meeting of the SEC Rules Committee has been scheduled for Wednesday, February 20th, 2019. We are pleased to have as our guest speaker SEC...

[31579] January 25, 2019 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Transfer...

[31576] January 24, 2019 TO: ICI Members Investment Company Directors Operations Committee Processing Fees Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Disclosure Distribution Fees and Expenses Fund Governance Intermediary...

[31570] January 22, 2019 TO: ICI Members Closed-End Investment Company Committee SUBJECTS: Closed-End Funds Disclosure RE: SEC Excludes Closed-End Funds from Final Rule Requiring Disclosure of Hedging Practices and Policies In December, the Securities and Exchange Commission adopted a...

[31568] January 18, 2019 TO: ICI Global Regulated Funds Committee SEC Rules Committee RE: ICI Submits Comment Letter to FTC on Common Ownership Following the FTC's Hearings on Competition and Consumer Protection in the 21st Century ICI recently submitted the attached letter in...

[31567] January 17, 2019 TO: Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SEC Rules Committee RE: Draft ICI Comment Letter on IOSCO Leverage Consultation; Member Comments Requested by January 24 As previously...