Closed-End Investment Company Content

The Securities and Exchange Commission earlier today published a notice of withdrawal of an New York Stock Exchange proposed rule change that would have established limits on listed closed-end fund investments in private funds.

On Tuesday, the staff of the Securities and Exchange Commission's Division of Investment Management issued a statement on registered fund investments in cash-settled Bitcoin futures traded on CFTC-regulated exchanges ("Bitcoin futures").[1] The statement cautions funds investing in...

[33501] April 26, 2021 TO: Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: Member Call to Discuss the SEC's Re-Opening of the Universal Proxy Proposal Comment Period - Tuesday, May 4 at 1 pm (Eastern) As previously reported, the Securities and...

[33499] April 26, 2021 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: Member Call to Discuss NYSE's Proposed Rule Change Limiting Listed Closed...

[33498] April 26, 2021 TO: ICI Members SUBJECTS: Closed-End Funds RE: NYSE Proposes Amendment to Limit Listed Closed-End Fund Investments in Private Funds The New York Stock Exchange (?NYSE?) recently filed a proposed rule change to establish limits on listed closed-end fund...

[33489] April 21, 2021 TO: Closed-End Investment Company Committee RE: Reminder: Spring Closed-End Investment Company Committee Meeting - Tuesday, April 27 at 1 pm (Eastern) The next meeting of the Closed-End Investment Company Committee will take place via Zoom teleconference on...

[33411] April 1, 2021 TO: ICI Members SUBJECTS: Audit and Attest Closed-End Funds Fund Accounting & Financial Reporting RE: SEC Issues Dear CFO Letter for Investment Companies On March 30, 2021 the staff of the Chief Accountant?s Office in the Division of Investment Management issued...

[33088] February 4, 2021 TO: ICI Members Investment Company Directors SUBJECTS: Advertising Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Fees and Expenses Fund Accounting & Financial Reporting Fund Governance Money Market Funds Operations Transfer Agency Unit Investment...