Small Funds Content

The next meeting of the Investment Company Institute's Small Funds Committee will be held on Tuesday, May 24 from 1:00 p.m. to 5:00 p.m. ET and Wednesday, May 25 from 9:00 a.m. to 1:00 p.m. ET in conjunction with the ICI Leadership Summit.

A special session of the small funds committee will be held March 14 at 2:00 pm ET. Current events are putting a spotlight on cyber preparedness. At times being prepared can seem to be an overwhelming and costly effort, but it is a necessary area of focus in today's climate. Please...

Last week, the SEC filed a civil action against an SEC-registered investment adviser and its affiliated broker-dealer for the adviser recommending to clients mutual fund shares that generated millions of dollars in revenue-sharing payments to the broker-dealer when lower-cost share...

The IRS and Treasury have released a long-awaited notice of proposed rulemaking that would amend the regulations governing required minimum distributions (RMDs) from retirement plans and IRAs to reflect changes made by the Setting Every Community Up for Retirement Enhancement Act (the...

The IRS and Treasury have released a long-awaited notice of proposed rulemaking that would amend the regulations governing required minimum distributions (RMDs) from retirement plans and IRAs to reflect changes made by the Setting Every Community Up for Retirement Enhancement Act (the...

On February 9, the Securities and Exchange Commission proposed rules to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date ("T+2") to one business day after the trade date ("T+1").

On February 9, the Securities and Exchange Commission voted to propose new rules and amendments under the Investment Advisers Act of 1940 with respect to private fund advisers. The proposal passed by a vote of three-to-one. The proposal's goals are to improve private fund adviser...

On February 10, the SEC, by seriatim approval, proposed amendments to its rules governing beneficial ownership reporting on Schedules 13D and 13G ("Proposal"). Comments on the proposal are due the later of: (i) April 11, 2022 (60 days following the publication of the proposing release...