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ICI Default BG
Memo#
35541

SEC Adopts Rule Prohibiting ABS Conflicts of Interest

On November 27, 2023, the Securities and Exchange Commission (SEC or "Commission"), on a 4-1 vote by seriatim, adopted Rule 192 ("Final Rule") under the Securities Act of 1933 ("Securities Act"), which implements the prohibition under Section 621 of the Dodd-Frank Act on material...
ICI Default BG
Memo#
35232

ICI Files Letter with New York Department of Financial Services on Presumption of Control Applicable to Investments in Certain State-Regulated Financial Institutions by an Investment Manager's Regulated Funds and Other Accounts

Late last week, ICI responded to the New York Department of Financial Services' December 2022 industry letter (NYDFS Letter) on the presumption of control that applies to certain financial institutions regulated under the New York Banking Law. ICI's response is attached.
ICI Default BG
Comment Letter

ICI Comment Letter on SEC Treasury Clearing Proposal

On December 23, ICI filed a comment letter with the Securities and Exchange Commission on its proposed rules ("Proposal") that would mandate the clearing and settlement of certain secondary market transactions in US Treasury securities in which one of the counterparties is a direct...