Closed-End Investment Company Content

[31280] July 9, 2018 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 SEC's FAIR Act Rule Proposal In May the...

[31262] June 26, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF...

[31260] June 25, 2018 TO: Accounting/Treasurers Committee Auditor Independence Working Group Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: ICI Draft Comment Letter on SEC's Proposed Amendments to the Loan...

[31228] May 31, 2018 TO: ICI Members SUBJECTS: Closed-End Funds RE: Legislation Enacted to Modernize Closed-End Fund Offerings and Communications Last week, President Trump signed the “Economic Growth, Regulatory Relief, and Consumer Protection Act” (the “Act”), which, among other...

[31223] May 30, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF...

[31214] May 18, 2018 TO: Closed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee RE: Revised Draft Comment Letter on SEC's Proposed Transaction Fee Pilot for NMS Stocks; Member Comments Due to ICI by 5:00 p...

[31208] May 14, 2018 TO: Accounting/Treasurers Committee Auditor Independence Working Group Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: ICI Call on May 24 to Discuss SEC Auditor Independence Loan Rule Proposal The Securities and Exchange...

[31205] May 10, 2018 TO: Closed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee RE: ICI Draft Comment Letter on SEC's Proposed Transaction Fee Pilot for NMS Stocks; Member Comments Due to ICI by May 17 The...

[31179] April 23, 2018 TO: Closed-End Investment Company Committee RE: Final Reminder and Agenda for Closed-End Investment Company Committee Meeting - Wednesday, April 25 The next meeting of the Closed-End Investment Company Committee will take place this Wednesday, April 25, 2018 at...

[31164] April 11, 2018 TO: Closed-End Investment Company Committee RE: Register for the Closed-End Investment Company Committee Meeting on April 25, 2018; Draft Agenda with Guest Speakers Attached The next meeting of the Closed-End Investment Company Committee will take place in...