Small Funds Content

[32529] June 16, 2020 TO: ICI Members Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance CPO/CTA Derivatives Fund Accounting & Financial Reporting Investment Advisers RE: ICI Submits Comments on CFTC Proposal to Revise Form CPO-PQR As...

[32515] June 10, 2020 TO: Small Funds Committee RE: Registration Open - July 15, SEC Small Funds Roundtable ICI will be hosting a small funds committee roundtable with the SEC Division of Investment Management, Wednesday, July 15th from 1:00 p.m. to 2:00 p.m. ET. If you have questions...

[32495] May 29, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Distribution Operations Recordkeeping Settlement RE: ICI Operations White Papers...

[32468] May 19, 2020 TO: Small Funds Committee RE: Registration Open - June 9, 2020 Regulatory Update The next Small Funds Committee meeting will take place on Tuesday, June 9th, 1:00 p.m. to 2:00 p.m. ET, the session will be facilitated using Microsoft Teams. Committee members are...

[32435] May 4, 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 Municipal Securities Advisory Committee Operations Committee...

[32419] April 27, 2020 TO: Accounting/Treasurers Committee SEC Rules Committee Security Valuation Operations Committee Small Funds Committee RE: ICI Call to Discuss SEC's Fair Valuation Proposal: May 7 at 2:00 pm ET On April 21, the SEC proposed new Rule 2a-5 under the Investment...

[32403] April 21, 2020 TO: Accounting/Treasurers Committee Disclosure Working Group ESG Task Force SEC Rules Committee Small Funds Committee RE: Institute Draft Comment Letter on Names Rule Request for Comment On March 2, the Securities and Exchange Commission published a release...

[32354] April 7, 2020 TO: Small Funds Committee RE: A View from Washington Conference Call May 5th The next virtual meeting of the Investment Company Institute’s Small Funds Committee will be held on May 5, at 1:00 p.m. ET via MS Teams. A calendar invitation has been sent to the...

[32361] April 6, 2020 TO: ICI Members Operations Committee Small Funds Committee TAAC Abandoned Property Task Force Transfer Agent Advisory Committee SUBJECTS: Abandoned Property and Escheatment Compliance Disclosure Operations Technology & Business Continuity Transfer Agency RE: US...

[32359] April 6, 2020 TO: ICI Members Investment Company Directors Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee Variable Insurance Products Advisory...