Closed-End Investment Company Content

[31986] September 30, 2019 TO: ICI Members Closed-End Investment Company Committee SEC Rules Committee SUBJECTS: Closed-End Funds Compliance RE: SEC Adopts Rule Expanding Pre-Filing Communications with Certain Prospective Investors The Securities and Exchange Commission recently...

[31979] September 24, 2019 TO: ICI Members Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Closed-End Funds Compliance Distribution RE: ICI Submits Comment Letter on SEC's Concept Release on Securities Offering Exemptions As you know, in...

[31952] September 10, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Investment Advisers RE: SEC Staff Announces Changes to Its Rule 14a-8 No-Action Request Process On September 6, the SEC’s Division of Corporation Finance announced changes to...

[31943] September 6, 2019 TO: Closed-End Investment Company Committee RE: Save the Date: Fall Closed-End Investment Company Committee Meeting - November 6, 2019 The fall meeting of the Closed-End Investment Company Committee has been scheduled for Wednesday, November 6, 2019. The in...

[31922] August 27, 2019 TO: Closed-End Investment Company Committee ICI Securities Regulation Advisory Group SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter on SEC's Concept Release on Securities Offering Exemptions; Member Comments Due on September 10 As...

[31917] August 22, 2019 TO: ICI Members ICI Global Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Tax Committee Transfer Agent Advisory Committee...

[31909] August 20, 2019 TO: ICI Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Tax Committee Transfer Agent Advisory Committee SUBJECTS: Fund Accounting...

[31871] July 29, 2019 TO: ICI Members SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations RE: ICI Submits Comment Letter on FINRA's Proposed Amendments to Rule 2210...

[31866] July 23, 2019 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Investment...

[31855] July 15, 2019 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee Fixed-Income Advisory Committee Internal Audit Committee...