Closed-End Investment Company Content

[32605] July 16, 2020 TO: Accounting/Treasurers Committee Closed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee RE: SEC Proposes to Increase Form 13F Reporting Threshold to $3.5 Billion...

[32589] July 8, 2020 TO: ICI Members Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Operations RE: SEC Adopts Expedited Procedure for Exemptive Order...

[32566] June 29, 2020 TO: ICI Members SUBJECTS: Abandoned Property and Escheatment Closed-End Funds Compliance COVID-19 Disclosure Fund Accounting & Financial Reporting Fund Governance International/Global Operations Technology & Business Continuity Transfer Agency Variable Insurance...

[32529] June 16, 2020 TO: ICI Members Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance CPO/CTA Derivatives Fund Accounting & Financial Reporting Investment Advisers RE: ICI Submits Comments on CFTC Proposal to Revise Form CPO-PQR As...

[32502] June 2, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds RE: SEC Staff Provides No-Action Relief for Closed-End Fund to Exclude Shareholder Proposals that Proponents' Shares Cannot Vote On The Securities and Exchange Commission’s Division of...

[32487] May 28, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance RE: SEC Staff Permits Funds to Opt in to State Control Share Acquisition Statutes On May 27, 2020, the Securities and Exchange Commission’s Division of Investment Management issued...

[32490] May 28, 2020 TO: ICI Members SUBJECTS: Alternative Investments Closed-End Funds Fixed Income Securities Investment Advisers Portfolio Oversight Systemic Risk Trading and Markets RE: SEC Staff Issues No-Action Relief Related to Registered Fund Participation in the Federal...

[32457] May 13, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Operations Transfer Agency Variable Insurance Products RE: Important Information Regarding ICI Involvement with Third-Party...

[32443] May 6, 2020 TO: Closed-End Investment Company Committee RE: Closed-End Investment Company Committee Spring Meeting - Thursday, May 28 at 1 pm (Eastern Time) Please note that, due to COVID-19 concerns, the Spring in-person meeting of the Closed-End Investment Company Committee...

[32433] May 4, 2020 TO: ICI Members SUBJECTS: Alternative Investments Closed-End Funds Compliance Derivatives Fund Accounting & Financial Reporting Investment Advisers RE: CFTC Proposes Revisions to Periodic Reporting Requirements for Commodity Pool Operators The Commodity Futures...