Small Funds Content

[33004] December 22, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee...

[33001] December 21, 2020 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...

[33002] December 21, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Investment Advisers Trading and Markets RE: CFTC Adopts Final Rules on Electronic Trading Risk Principles for DCMs The Commodity Futures Trading Commission (“Commission”) recently...

[32999] December 18, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee Pension Operations...

[32998] December 18, 2020 TO: ICI Members Tax Committee SUBJECTS: Tax RE: IRS Extends Ability to Use E-Signatures for Certain Tax Forms On December 11, 2020, the IRS issued a memorandum extending the ability of taxpayers and representatives to use electronic or digital signatures for...

[32996] December 18, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Derivatives International/Global Investment Advisers Trading and Markets RE: EBA Publishes Final...

[32985] December 16, 2020 TO: ICI Members SUBJECTS: Audit and Attest Compliance Disclosure Fund Accounting & Financial Reporting RE: SEC Issues ADI Addressing Risk Disclosure for Funds Investing in Emerging Markets The Division of Investment Management’s Disclosure Review and...

[32987] December 16, 2020 TO: ICI Members Tax Committee SUBJECTS: Tax RE: ICI Letter to Treasury and IRS regarding Web Reporting of Distribution Information ICI submitted the attached letter to the Treasury Department and the Internal Revenue Service (IRS) reiterating previous...

[32988] December 16, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Trading and Markets RE: Staff of...

On December 4, the Securities and Exchange Commission granted an order (“Order”) approving an application for exemptive relief under sections 26(c) and 17(b) of the Investment Company Act of 1940 to permit the substitution of several mutual funds offered as investment options in...