Operations Content

[32039] November 6, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Abandoned Property and Escheatment Pension RE: ERISA Advisory Council Presents Recommendations on Permissive Transfers of Uncashed Checks from ERISA Plans to State Unclaimed...

[32032] November 1, 2019 TO: ICI Members Closed-End Investment Company Committee SUBJECTS: Closed-End Funds Disclosure Operations RE: SEC Proposes Rule and Form Changes to Modernize Filing Fee Payment The SEC recently proposed rule and form changes intended to modernize filing fee...

[32021] October 24, 2019 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Sales and Marketing Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[32019] October 22, 2019 TO: ICI Members Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Operations RE: SEC Proposes New Procedures for Exemptive Order...

[32017] October 21, 2019 TO: ICI Members Chief Compliance Officer Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Privacy Issues Working Group SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Privacy State Issues RE: Important...

[31985] September 30, 2019 TO: ICI Members Investment Company Directors ICI Global Members ICI Global Atlantic Chapter ICI Global Regulated Funds Committee Privacy Issues Working Group SEC Rules Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers...

[31975] September 20, 2019 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Fixed-Income Advisory Committee Municipal Securities Advisory Committee SUBJECTS: Derivatives Disclosure Fixed Income Securities Fund Accounting &...

[31965] September 16, 2019 TO: Operations Committee RE: Mark Your Calendar - 2020 Operations Committee Meeting Schedule The Operations Committee meeting schedule for 2020 has been finalized. Please mark your calendar for the following meeting dates: April 8 & 9, 2020October 21 & 22...

[31957] September 10, 2019 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee...