SEC Rules Content

[31270] June 29, 2018 TO: ICI Members SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure RE: SEC Finalizes iXBRL Requirements The Commission voted on June 28 to require the use of Inline eXtensible Business Reporting Language (iXBRL) format for the submission of...

[31262] June 26, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF...

[31261] June 26, 2018 TO: Bank-Affiliated Member Advisory Committee ICI Global Regulated Funds Committee SEC Rules Committee RE: Agencies Propose Volcker Rule Reforms; ICI Plans to Comment As anticipated, the five agencies (collectively, “Agencies”) responsible for implementing...

[31260] June 25, 2018 TO: Accounting/Treasurers Committee Auditor Independence Working Group Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: ICI Draft Comment Letter on SEC's Proposed Amendments to the Loan...

[31254] June 20, 2018 TO: SEC Rules Committee Small Funds Committee RE: June 27 Conference Call; Invitation to Enhanced Fund Disclosure Working Group As you know, the SEC recently requested comment on improving fund disclosure. The SEC described this request for comment as the first...

[31250] June 19, 2018 TO: Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: Conference Call on Response to SEC Request for Comment on Processing Fees As you know, the Commission recently requested comment on the overall framework for...

[31243] June 8, 2018 TO: ICI Members Investment Company Directors SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee Variable Insurance Products Advisory Committee SUBJECTS: Compliance Disclosure Operations Transfer Agency RE: Summary of SEC Final Rule 30e-3...

[31238] June 5, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure Distribution RE: SEC Finalizes Rule 30e-3 and Releases Requests for Comment on Processing Fees and Modernizing Fund Disclosure The Commission voted yesterday to issue three releases related to improving fund...

[31234] June 5, 2018 TO: SEC Rules Committee RE: SEC Rules Committee Meeting on June 12 - Room Location Change at Franklin Templeton As you know, the next meeting of ICI’s SEC Rules Committee will take place next week on Tuesday, June 12th. Our guest speaker will be Dan Kahl, Chief...

[31237] June 5, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure RE: ICI Files Supplemental Comment Letter on SEC's iXBRL Proposal ICI submitted the attached supplemental comment letter on the SEC’s 2017 proposal to require the use of Inline eXtensible Business Reporting Language...