ICI Summary Memoranda
January 12, 2023
Memo #34801
SEC Proposes to Expand Order Execution Disclosures Under Rule 605 of Reg NMS
On December 14, 2022, the Securities and Exchange Commission (SEC or "Commission") issued a proposal ("Proposal") to update the disclosure required under Rule 605 of Regulation National Market System ("Reg NMS") that would: (1) expand the scope of entities...
December 28, 2022
Memo #34737
FINRA Adopts and Proposes Amendments to TRACE Reporting
Over the last month, FINRA has proposed or adopted three separate reporting requirement changes to the Trade Reporting and Compliance Engine (TRACE). On December 13, 2022, FINRA adopted amendments to require the reporting of transactions in US dollar...
October 24, 2022
Memo #34292
SEC's Division of Examinations Issues Risk Alert Regarding Investment Adviser Marketing Rule
In December 2020, the SEC adopted rule amendments that replaced the existing Investment Advisers Act advertising and cash solicitation rules for investment advisers and private funds with a single, combined "Marketing Rule." The new Marketing Rule does not...
ICI News Releases
News Release
ICI Welcomes Treasury Report on Asset Management Regulation
ICI Welcomes Treasury Report on Asset Management Regulation Stands Ready to Help Advance...
News Release
ICI Statement on Final SEC Liquidity and Data Reporting Rules
ICI Statement on Final SEC Liquidity and Data Reporting Rules Washington, DC, October 13, 2016 —...
News Release
ICI Supports SEC Rule Proposal to Enhance Fund Reporting and Modernize Shareholder Report Delivery
ICI Supports SEC Rule Proposal to Enhance Fund Reporting and Modernize Shareholder Report Delivery...
More ICI Resources
Video
Focus on Funds: SEC Data Reporting Rules Bring New Demands
Focus on Funds SEC Data Reporting Rules Bring New Demands The US Securities and Exchange Commission...
Video
Focus on Funds: How Changes to the SEC's Reporting Rules Will Affect Funds
Focus on Funds How Changes to the SEC’s Reporting Rules Will Affect Funds The October 9, 2015...