Operations Content

[31871] July 29, 2019 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 FINRA's Proposed Amendments to Rule 2210...

[31866] July 23, 2019 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Investment...

[31855] July 15, 2019 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee Fixed-Income Advisory Committee Internal Audit Committee...

[31828] June 27, 2019 TO: Operations Committee Transfer Agent Advisory Committee RE: SEC Staff Clarifies the Pricing of Securities in Connection with Investment Companies' Use of Check Hold Periods In 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE) raised an...

[31815] June 19, 2019 TO: ICI Members Investment Company Directors ICI Global Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Internal Audit Committee Investment Advisers Committee Operations Committee Pension...

[31800] June 11, 2019 TO: Investment Advisers CommitteeOperations CommitteePension CommitteePension Operations Advisory CommitteePrincipal Underwriters Working GroupSEC Rules CommitteeSmall Funds CommitteeVariable Insurance Products Advisory Committee RE: ICI Member Call June 21 on...

[31801] June 11, 2019 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Technology Committee Transfer Agent Advisory Committee...

[31803] June 11, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: ICI Submits Comment Letter to SEC Recommending Ways to Improve the Fund Proxy System In 2018...

[31790] June 5, 2019 TO: ICI Members Investment Company Directors ICI Global Members Broker/Dealer Advisory Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compensation/Remuneration...