SEC Rules Content

[31527] December 20, 2018 TO: ICI Global Members Global ESG Task Force ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Disclosure Distribution International/Global RE: Hong Kong SFC Soft Consultation on ESG-Labeled Funds ICI Global attended a soft...

[31518] December 12, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure Operations Transfer Agency RE: Update on Rule 30e-3 Related Disclosure Requirements for Variable Annuity Products As you know, the SEC recently adopted final Rule 30e-3 under the Investment Company Act of 1940....

[31512] December 4, 2018 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Money Market Funds Advisory Committee SEC Rules Committee SUBJECTS: Compliance Disclosure Money Market Funds Valuation RE: EDGAR Closed on December 5 In connection with tomorrow’s...

[31513] December 4, 2018 TO: ICI Members SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations RE: SEC Adopts Final FAIR Act Rule Last week the SEC adopted rules and...

[31511] December 3, 2018 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee SUBJECTS: Derivatives International/Global Systemic Risk RE: IOSCO Issues Consultation Paper on Assessing Investment Funds' Use of Leverage; Member...

[31506] November 29, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution Fees and Expenses Fund Accounting & Financial Reporting Investment Advisers Pension Recordkeeping Transfer Agency Variable Insurance Products...

[31505] November 29, 2018 TO: SEC Rules Committee Variable Insurance Products Advisory Committee RE: SEC Proposes Summary Prospectus for Variable Insurance Products - ICI Member Call December 11 On October 30, 2018, the Securities and Exchange Commission proposed rule and form...

[31499] November 27, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee ICI Global Regulated Funds Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee RE: ICI Draft Comment Letter on CFA Institute's GIPS Exposure Draft...

[31492] November 20, 2018 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Trading and Markets RE: ICI Files...

[31488] November 19, 2018 TO: ICI Members ICI Global Members Equity Markets Advisory Committee SEC Rules Committee SUBJECTS: Trading and Markets RE: SEC Adopts Rules to Improve Transparency of Broker-Dealer Order Handling Practices The Securities and Exchange Commission (SEC or...