Closed-End Investment Company Content

[31837] July 5, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Distribution RE: SEC Issues Concept Release on Securities Offering Exemptions; Call Scheduled for July 18 at 2 pm (ET) The Securities and Exchange Commission recently issued a concept release seeking comment on...

[31822] June 24, 2019 TO: ICI Members ICI Global Members SUBJECTS: Advertising Closed-End Funds Derivatives Exchange-Traded Funds (ETFs) Fixed Income Securities Investment Advisers Systemic Risk Trading and Markets Transfer Agency Variable Insurance Products RE: ICI Summary of Spring...

[31794] June 10, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Fund Accounting & Financial Reporting RE: ICI Files Comment Letter on SEC's Closed-End Fund Offering Reform Proposal Earlier today, ICI filed a comment letter on the Securities and Exchange...

[31787] June 3, 2019 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Closed-End Funds Distribution Operations...

[31776] May 28, 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 Proposal on Closed-End Fund Offering Reform; Member Comments Requested by Monday, June 3 In March...

[31741] May 6, 2019 TO: ICI Members Investment Company Directors Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Securities Regulation Advisory Group SEC Rules Committee SUBJECTS: Closed-End Funds Exchange-Traded Funds (ETFs)...

[31746] May 6, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Exchange-Traded Funds (ETFs) Fund Governance Portfolio Oversight Variable Insurance Products RE: IDC Files Comment Letter on SEC's Fund of Funds Arrangements Proposal IDC filed the attached...

[31738] April 29, 2019 TO: ICI Members Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Closed-End Funds Compliance RE: ICI Files Comment Letter on SEC's Proposal Expanding Pre-Filing Communications with...

[31715] April 15, 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 Proposal Expanding Pre-Filing Communications with Certain Prospective Investors; Member Comments...

[31714] April 12, 2019 TO: Closed-End Investment Company Committee RE: Reminder: Register for the Closed-End Investment Company Committee Meeting on Tuesday, April 23 As previously noted, an in-person meeting of the Closed-End Investment Company Committee is scheduled for Tuesday...