Creation of Disclosure Working Group - Initial Call on October 4

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September 5, 2017 TO: ICI Members
SEC Rules Committee
Small Funds Committee SUBJECTS: Disclosure RE: Creation of Disclosure Working Group - Initial Call on October 4

 

We are forming a disclosure-focused working group that will provide a forum to discuss comments that members receive from the SEC’s Division of Investment Management staff during the disclosure review process. We anticipate that this working group also will discuss next steps with respect to engagement with senior SEC staff on potential improvements to the disclosure review process.

The Disclosure Working Group will have its first quarterly conference call on Wednesday, October 4 from 1:30-3:00 p.m. ET. Please RSVP to jodom@ici.org to receive the dial-in information and to be added to the Disclosure Working Group list for future communications. We would appreciate if you could pass this information on to any additional appropriate contacts in your organization.

To facilitate discussion on the call, please submit any proposed agenda items (i.e., problematic disclosure comments that members have received from SEC staff) to me at linda.french@ici.org. We will send the agenda to working group members in advance. During the call, we will ask the member who suggested the agenda item to introduce it to participants for discussion.

We would appreciate it if you could provide us with any proposed agenda items by Tuesday, September 26.  Thank you in advance for your participation, and we look forward to speaking with you then.

 

Linda M. French
Assistant General Counsel