Council of Institutional Investors

CII, ICI File Amicus Brief Urging Court to Allow SEC’s Transaction Fee Pilot to Progress
8/1/2019
CII Staff
CII and the Investment Company Institute (ICI) filed an amicus brief August 1 in the D.C. Circuit Court of Appeals urging the court to deny the stock exchanges’ petitions for review of the SEC’s transaction fee pilot and to allow the pilot to proceed.
Sections
MiFID II
SOX 404
Stock Exchanges
Evidence Does Not Support Expanding Internal Control Exemption
by: CII Staff

7/25/2019

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In a July 25 letter to the SEC, CII General Counsel Jeff Mahoney opposed a commission proposal to exempt certain low-revenue public companies from complying with Section 404(b) of the Sarbanes-Oxley Act, which requires an independent auditor to attest to the effectiveness of internal controls over financial reporting.
CII Collaborates to Ask SEC for Improved Disclosure of Research Costs
by: CII Staff

7/2/2019

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In a June 26 joint letter, CII, Healthy Markets and CFA Institute asked the SEC for better disclosure of research costs to asset owners.