Closed-End Investment Company Content

[31513] December 4, 2018 TO: ICI Members SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations RE: SEC Adopts Final FAIR Act Rule Last week the SEC adopted rules and...

[31481] November 15, 2018 TO: ICI Members Investment Company Directors Investment Advisers Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Investment Advisers Transfer Agency RE...

[31468] November 5, 2018 TO: Closed-End Investment Company Committee RE: Register for the Closed-End Investment Company Committee Meeting and Dinner on Tuesday, November 13; Closed-End Fund Conference on Wednesday, November 14 Committee Meeting The next meeting of the Closed-End...

[31456] October 24, 2018 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Advertising Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Fees and Expenses Investment Advisers RE: ICI Letter to SEC on Request for Comment on Retail Investor Experience We...

[31433] October 12, 2018 TO: Closed-End Investment Company Committee RE: Registration for November 13th Closed-End Investment Company Committee Meeting and Dinner The next meeting of the Closed-End Investment Company Committee will take place on Tuesday, November 13th. This in-person...

[31427] October 9, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: Your Views Requested by Oct 17th: ICI Draft Letter to SEC on Fund Retail Investor Experience As...

[31392] September 19, 2018 TO: Closed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee RE: Draft ICI Comment Letter on Proposed Transaction Fee Pilot for NMS Stocks; Member Comments Requested by September...

[31385] September 13, 2018 TO: Closed-End Investment Company Committee Investment Advisers Committee SEC Rules Committee Transfer Agent Advisory Committee Unit Investment Trust Committee RE: SEC Staff Withdraws Proxy Advisory Firm Related Letters and Chairman Clayton Issues Statement...

[31342] August 20, 2018 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: Tax RE: 2018...

[31314] August 6, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Announces Staff Roundtable on the Proxy Process In a July 30 statement, SEC...