Security Valuation Operations Committee Content

[31198] May 7, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting RE: SEC Proposes Amendments to Auditor Independence Loan Rule On May 2, the Securities and Exchange Commission issued for...

[31189] May 2, 2018 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Fund Accounting & Financial Reporting Investment Advisers Variable Insurance Products RE: FINRA Staff Issues Guidance Permitting Related Performance Information in Institutional Communications...

[31190] May 2, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting RE: SEC Staff Updates FAQs on Fund Reporting Rules to Address N-SAR Filing Obligations The Division of Investment Management of the Securities and Exchange Commission (“SEC”)...

[31178] April 20, 2018 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: CFA Institute Announces Changes to Its Broadly Distributed Pooled Fund Guidance Statement This week...

[31172] April 18, 2018 TO: ICI Members SUBJECTS: Audit and Attest Disclosure Fund Accounting & Financial Reporting RE: SEC Staff Provides Comments on Compliance with Regulation S-X Amendments On February 20, 2018 SEC staff from the Division of Investment Management provided comments...

[31165] April 13, 2018 TO: ICI Members Accounting/Treasurers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Investment Advisers Money Market Funds Operations Portfolio Oversight Recordkeeping RE: SEC Staff...

[31146] March 29, 2018 TO: Security Valuation Operations Committee RE: Security Valuation Operations Committee Meeting - May 17, 2018 The next meeting of the Security Valuation Operations Committee has been scheduled for Thursday May 17, 2018 at the offices of AllianceBernstein...

[31139] March 20, 2018 TO: Investment Company Directors SUBJECTS: Fund Governance Valuation RE: SEC's Dalia Blass Addresses Board Outreach Initiative in Speech On March 19, Dalia Blass, the SEC’s Director of the Division of Investment Management, highlighted the division’s Board...

[31136] March 16, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Proposes...

[31106] February 23, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Extends...