Closed-End Investment Company Content

[32760] September 15, 2020 TO: Accounting/Treasurers Committee Closed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ICI Global Regulated Funds Committee SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter on...

[32755] September 14, 2020 TO: ICI Members Accounting/Treasurers Committee Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee Money Market Funds Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory...

[32743] September 4, 2020 TO: ICI Members SEC Rules Committee SUBJECTS: Closed-End Funds Compliance Distribution RE: SEC Adopts Expanded Accredited Investor and Qualified Institutional Buyer Definitions The Securities and Exchange Commission recently updated the definitions of...

[32729] September 1, 2020 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Closed-End Investment Company Committee Disclosure Working Group ETF Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Unit Investment Trust...

[32699] August 24, 2020 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Closed-End Investment Company Committee Disclosure Working Group ETF Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Unit Investment Trust Committee...

[32693] August 21, 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...

[32689] August 20, 2020 TO: Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee Investment Advisers Committee Operations Committee Proxy Working Group SEC Rules Committee Small Funds Committee RE: Compliance Considerations Related...

[32660] August 5, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Advertising Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Fees and Expenses Fund Accounting & Financial Reporting Fund Governance Money Market Funds Operations Transfer Agency Unit Investment...

[32659] August 5, 2020 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Closed-End Investment Company Committee Disclosure Working Group ETF Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee...

[32646] July 29, 2020 TO: ICI Members Investment Company Directors Advertising Compliance Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee Disclosure Working Group Fixed...