Closed-End Investment Company Content

[32892] November 3, 2020 TO: ICI Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Bank-Affiliated Member Advisory Committee Closed-End Investment Company Committee Operations Committee Tax Committee Transfer Agent Advisory Committee SUBJECTS: Fund...

[32886] November 2, 2020 TO: ICI Members Investment Company Directors 1940 Act Derivatives Working Group SUBJECTS: Alternative Investments Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Financial Stability Fund Governance Recordkeeping Risk Oversight...

[32881] October 30, 2020 TO: ICI Members Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance CPO/CTA Derivatives Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers RE: CFTC Approves Amendments to Form...

[32874] October 28, 2020 TO: Closed-End Investment Company Committee RE: Draft ICI Comment Letter on the SEC Staff's Statement on Control Share Acquisition Statutes; Comments Requested by Wednesday, November 4 ICI has prepared the attached draft comment letter to the Securities and...

[32859] October 26, 2020 TO: ICI Members SUBJECTS: Audit and Attest Closed-End Funds Fund Accounting & Financial Reporting RE: SEC Issues Dear CFO Letter for Investment Companies On October 23, 2020 the staff of the Chief Accountant’s Office of the Division of Investment Management...

[32821] October 9, 2020 TO: ICI Members Investment Company Directors CCO Advisory Issues Subcommittee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Securities...

[32809] October 6, 2020 TO: Closed-End Investment Company Committee RE: Register for the Closed-End Investment Company Committee Fall Meeting (November 12) and the 2020 Closed-End Fund Conference (November 4 and 5) Committee Meeting Please note that, due to COVID-19 concerns, the Fall...

[32787] September 30, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Closed-End Funds Distribution...

[32790] September 29, 2020 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Closed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Global Regulated Funds...

[32779] September 25, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Investment Advisers Operations Portfolio Oversight Transfer Agency RE: SEC Adopts Amendments to Shareholder Proposal Rule (Rule 14a-8) This week...