SEC Rules Content

[31395] September 20, 2018 TO: SEC Rules Committee RE: SEC Rules Committee Meeting on October 18; Dinner on October 17 - Draft Agenda Attached The next meeting of the SEC Rules Committee will take place on Thursday, October 18th. This is an in-person meeting to be held at the offices...

[31396] September 20, 2018 TO: Equity Markets Advisory Committee SEC Rules Committee RE: SEC Announces Roundtable on Combating Retail Investor Fraud The Securities and Exchange Commission recently announced that its Division of Trading and Markets will host a roundtable on September...

[31389] September 18, 2018 TO: ICI Members SUBJECTS: Fund Accounting & Financial Reporting Valuation RE: FASB Modifies Fair Value Measurement Disclosure Requirements and Finalizes Definition of Materiality The Financial Accounting Standards Board recently released an accounting...

[31388] September 18, 2018 TO: ICI Global Members Global ESG Task Force SUBJECTS: Disclosure International/Global Investment Advisers RE: ICI Global ESG Task Force: Updates on EU & US Developments This memorandum provides updates on the following items: Invitation to European...

[31387] September 17, 2018 TO: ICI Members ICI Global Members ICI Global Investing Subcommittee ICI Global Regulated Funds Committee International Operations Advisory Committee SEC Rules Committee Security Valuation Operations Committee Tax Committee SUBJECTS: RE: Letter to SEBI on...

[31385] September 13, 2018 TO: Closed-End Investment Company Committee Investment Advisers Committee SEC Rules Committee Transfer Agent Advisory Committee Unit Investment Trust Committee RE: SEC Staff Withdraws Proxy Advisory Firm Related Letters and Chairman Clayton Issues Statement...

[31386] September 13, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Fund Governance Investment Advisers Transfer Agency Unit Investment Trusts (UITs) Variable Insurance Products RE: SEC Staff Withdraws Proxy Advisory Firm Related Letters and Chairman Clayton...

[31377] September 10, 2018 TO: SEC Rules Committee RE: Notice of SEC Rules Committee Meeting on October 18; Dinner on October 17 The next meeting of the SEC Rules Committee will take place on Thursday, October 18th. This is an in-person meeting to be held at the offices of the...

[31381] September 10, 2018 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee International Operations Advisory Committee SEC Rules Committee Securities Operations Advisory Committee Tax Committee RE: SEBI Consultation on Recommendations of Working Group...

[31361] August 30, 2018 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee International Operations Advisory Committee SEC Rules Committee Securities Operations Advisory Committee Tax Committee RE: Securities and Exchange Board of India Extends Deadline for...