Security Valuation Operations Committee Content

[33272] March 19, 2021 TO: ICI Members Accounting/Treasurers Committee SEC Rules Committee Security Valuation Operations Committee SUBJECTS: Compliance Fixed Income Securities Fund Accounting & Financial Reporting Valuation RE: SEC FAQ Addresses Rule 2a-5 Compliance Date and Effect on...

[33240] March 17, 2021 TO: Equity Markets Advisory Committee Security Valuation Operations Committee RE: SEC Final Rule to Update NMS Market Data Infrastructure Last December, the SEC unanimously adopted a final rule to expand NMS market data content and replace the exclusive...

[33181] March 12, 2021 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Investment Advisers Operations Recordkeeping Risk Oversight Valuation RE: SEC Staff...

[33179] March 11, 2021 TO: Security Valuation Operations Committee RE: Registration Now Open - Security Valuation Operations Committee Meeting April 20 The next meeting of the Security Valuation Operations Committee has been scheduled for Tuesday, April 20 from 1:00 – 3:00 p.m...

[33152] March 3, 2021 TO: ICI Members Management Company Tax Subcommittee Tax Committee SUBJECTS: Fund Accounting & Financial Reporting Privacy Tax RE: ICI Submits Letter on IRS Form SS-4 Responsible Party Requirements The Investment Company Institute submitted the attached letter...

[33151] March 3, 2021 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Security Valuation Operations Committee SUBJECTS: Audit and Attest Audit Committees Fund Accounting & Financial Reporting RE: SEC FAQ on Rescission of Auditing Guidance in ASR 118 The...

[33147] March 2, 2021 TO: ICI Members ICI Global Members SUBJECTS: COVID-19 Cybersecurity Derivatives Disclosure Distribution ESG Exchange-Traded Funds (ETFs) Financial Stability International/Global Money Market Funds Technology & Business Continuity Valuation RE: IOSCO Releases Work...

[33125] February 22, 2021 TO: ICI Members Tax Committee SUBJECTS: Fund Accounting & Financial Reporting State Issues Tax RE: ICI Submits Opposition Letter to NY Stock Transfer Tax (STT) The ICI submitted the attached letter opposing any repeal or reduction to the NY stock transfer...

[33110] February 17, 2021 TO: ICI Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Securities Operations Advisory Committee Security Valuation Operations Committee Small Funds Committee Transfer...

[33091] February 5, 2021 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Fixed-Income Advisory Committee Investment Advisers Committee SEC Rules Committee Securities Operations Advisory Committee Small Funds Committee SUBJECTS: Audit and...