Closed-End Investment Company Content

[32418] April 27, 2020 TO: ICI Members Closed-End Investment Company Committee SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Fees and Expenses Fund Accounting & Financial Reporting RE: SEC Adopts Closed-End Fund Offering Reform Rules; SEC Staff Withdraws...

[32398] April 20, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Intermediary Oversight Investment Advisers Money Market Funds Portfolio Oversight Risk Oversight Systemic Risk RE: ICI Files...

[32396] April 17, 2020 TO: ICI Members SUBJECTS: Advisory Contract Renewal Audit Committees Closed-End Funds Compliance Disclosure RE: SEC Staff Issues FAQs Related to COVID-19 The staff of the Securities and Exchange Commission’s Division of Investment Management (“IM”) recently...

[32373] April 9, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers...

[32380] April 9, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance RE: SEC Provides Temporary Flexibility to Business Development Companies to Provide Capital to Portfolio Companies On April 8, the Securities and Exchange Commission provided temporary exemptive relief [1] to...

[32376] April 9, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Staff Issues Updated Guidance on Shareholder Meetings in Light of COVID-19...

[32359] April 6, 2020 TO: ICI Members Investment Company Directors Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee Variable Insurance Products Advisory...

On March 23, the US Senate voted 96-0 to approve the Coronavirus Aid, Relief, and Economic Security (CARES) Act. The US House of Representatives then followed suit and approved this sweeping legislation by voice vote this afternoon. President Trump is expected to sign it into law...

[32331] March 27, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Money Market Funds Operations Transfer Agency Unit Investment Trusts (UITs) RE: SEC's Office of...

[32330] March 27, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations Transfer Agency Unit Investment Trusts (UITs) Variable Insurance Products RE: SEC Staff Statement...