Closed-End Investment Company Content

[32083] December 6, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Risk Oversight Systemic Risk RE: SEC Re-Proposes Rule on Fund's Use of Derivatives and Proposes Sales Practice Rules for Transactions in Leveraged/Inverse...

[32084] December 6, 2019 TO: 1940 Act Derivatives Working Group Accounting/Treasurers Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Operations...

[32074] December 5, 2019 TO: ICI Members Closed-End Investment Company Committee Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance Derivatives Investment Advisers RE: CFTC Adopts Amendments to...

[32064] November 26, 2019 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: ICI Submits Comment Letter on SEC's Proposal...

[32061] November 25, 2019 TO: ICI Members SUBJECTS: Audit and Attest Closed-End Funds Disclosure Fees and Expenses Fund Accounting & Financial Reporting Tax RE: SEC Issues Dear CFO Letter for Investment Companies and Creates Accounting Matters Bibliography On November 22, 2019 the...

[32040] November 6, 2019 TO: Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter on SEC's Proposal for Exemptive Order Applications; Comments Due November 14 As previously reported, the...

[32033] November 4, 2019 TO: Closed-End Investment Company Committee Fixed-Income Advisory Committee ICI Global Trading & Markets Committee SEC Rules Committee RE: SEC Chairman Issues Statement Requesting Public Input on Disclosure Requirements for Residential Mortgage-Backed...

[32032] November 1, 2019 TO: ICI Members Closed-End Investment Company Committee SUBJECTS: Closed-End Funds Disclosure Operations RE: SEC Proposes Rule and Form Changes to Modernize Filing Fee Payment The SEC recently proposed rule and form changes intended to modernize filing fee...

[32019] October 22, 2019 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 Proposes New Procedures for Exemptive Order...

[32007] October 14, 2019 TO: Closed-End Investment Company Committee RE: Register for the Closed-End Investment Company Committee Meeting (November 6) and the 2019 Closed-End Fund Conference (November 7) Committee Meeting As previously noted, the next meeting of the Closed-End...