Small Funds Content

[31957] September 10, 2019 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee...

[31922] August 27, 2019 TO: Closed-End Investment Company Committee ICI Securities Regulation Advisory Group SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter on SEC's Concept Release on Securities Offering Exemptions; Member Comments Due on September 10 As...

[31904] August 16, 2019 TO: Small Funds Committee RE: Registration Now Open: Small Funds Session 1: Tech Tools for Sales and Marketing Webinar 1:00 - 2:00 p.m. ET, September 24, 2019 The next meeting of the Investment Company Institute’s Small Funds Committee will be held on Tuesday...

[31899] August 14, 2019 TO: Small Funds Committee RE: Registration Open - Small Funds Committee Meeting - November 7-8, 2019 The next meeting of the Investment Company Institute’s Small Funds Committee will be held on Thursday, November 7 from noon to 5:00 p.m. ET and on Friday...

[31893] August 8, 2019 TO: Small Funds Committee RE: Mark Your Calendar - 2020 Small Funds Meeting Schedule The Small Funds Committee meeting schedule for 2020 has been finalized. Please mark your calendar for the following meeting dates: February 12, 2020 Webinar May 5-6, 2020 ICI...

[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...

[31831] July 1, 2019 TO: Chief Compliance Officer Committee SEC Rules Committee Small Funds Committee RE: District Court Grants SEC Access to Documents an Adviser Claimed Were Subject to the Attorney-Client Privilege In a recent case in the U.S. District Court for the Southern...

[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...