Small Funds Content

[31576] January 24, 2019 TO: ICI Members Investment Company Directors Operations Committee Processing Fees Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Disclosure Distribution Fees and Expenses Fund Governance Intermediary...

[31544] January 3, 2019 TO: Research CommitteeSmall Funds Committee RE: Research Report with Additional Detail from ICI's Annual Mutual Fund Shareholder Tracking Survey Each year, ICI conducts a telephone survey of US households to track households’ ownership of mutual funds and to...

[31539] January 2, 2019 TO: Chief Compliance Officer Committee Internal Audit Committee Small Funds Committee RE: FINRA Publishes Report on Selected Cybersecurity Practices Earlier this month, the Financial Industry Regulatory Authority (FINRA) published a Report on Selected...

[31540] January 2, 2019 TO: ICI Members Investment Company Directors 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...

[31537] December 27, 2018 TO: Chief Information Security Officer Advisory Committee Small Funds Committee Technology Committee RE: FBI Infragard Meeting - San Francisco Rescheduled In late October you were notified of a planned meeting between select ICI representatives [1] and FBI...

[31531] December 21, 2018 TO: Small Funds Committee RE: Registration Now Open: Small Funds Webinar Update Meeting, 1:00 p.m. to 2:00 p.m. ET, February 14, 2019 The next meeting of the Investment Company Institute’s Small Funds Committee will be held on Thursday, February 14, 1:00 to 2...

[31499] November 27, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee ICI Global Regulated Funds Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee RE: ICI Draft Comment Letter on CFA Institute's GIPS Exposure Draft...

[31481] November 15, 2018 TO: ICI Members Investment Company Directors Investment Advisers Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Investment Advisers Transfer Agency RE...

[31466] November 1, 2018 TO: ICI Members Investment Company Directors Operations Committee Processing Fees Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Disclosure Distribution Fees and Expenses Fund Governance Intermediary...

[31446] October 18, 2018 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Small Funds Committee Tax Committee Transfer Agent Advisory Committee RE: Proposed Regulations on De Minimis Error Safe Harbor for Information Reporting...