Small Funds Content

[31790] June 5, 2019 TO: ICI Members Investment Company Directors ICI Global Members Broker/Dealer Advisory Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compensation/Remuneration...

[31787] June 3, 2019 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Closed-End Funds Distribution Operations...

[31776] May 28, 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 Proposal on Closed-End Fund Offering Reform; Member Comments Requested by Monday, June 3 In March...

[31738] April 29, 2019 TO: ICI Members Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Closed-End Funds Compliance RE: ICI Files Comment Letter on SEC's Proposal Expanding Pre-Filing Communications with...

[31715] April 15, 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 Proposal Expanding Pre-Filing Communications with Certain Prospective Investors; Member Comments...

[31710] April 11, 2019 TO: Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Securities Regulation Advisory Group SEC Rules Committee Small Funds Committee Unit Investment Trust Committee Variable Insurance Products Advisory...

[31661] March 21, 2019 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee International Operations Advisory Committee Operations Committee Series Trust Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[31629] February 25, 2019 TO: Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: ICI Draft Comment Letter to SEC on Proxy Voting: Comments...

[31627] February 21, 2019 TO: ICI Members Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance RE: SEC Proposes Expanding Pre-Filing Communications with Certain Prospective Investors; Member Call...

[31591] February 1, 2019 TO: Small Funds Committee RE: Registration Now Open: Small Funds Committee Meeting - April 30- May 1, 2019 The next meeting of the Investment Company Institute’s Small Funds Committee will be held on Tuesday, April 30 from 1:00 p.m. to 5:00 p.m. ET and on...