Small Funds Content

[31243] June 8, 2018 TO: ICI Members Investment Company Directors SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee Variable Insurance Products Advisory Committee SUBJECTS: Compliance Disclosure Operations Transfer Agency RE: Summary of SEC Final Rule 30e-3...

[31232] June 4, 2018 TO: ICI Members Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Operations Transfer Agency RE: SEC Grants ICI No-Action Relief Permitting Funds to...

[31223] May 30, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF...

[31208] May 14, 2018 TO: Accounting/Treasurers Committee Auditor Independence Working Group Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: ICI Call on May 24 to Discuss SEC Auditor Independence Loan Rule Proposal The Securities and Exchange...

[31199] May 7, 2018 TO: ICI Global Regulated Funds Committee SEC Rules Committee Small Funds Committee RE: Creation of ESG Task Force - Initial Call on May 17 We are forming an ESG Task Force that will focus on responding to EU policymaking activity around sustainable investing...

[31194] May 3, 2018 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Fixed-Income Advisory Committee Investment Advisers Committee Municipal...

[31185] April 26, 2018 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Variable Insurance Products Advisory Committee SUBJECTS...

[31175] April 19, 2018 TO: Investment Advisers Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee RE: ICI Call on May 1 to Discuss SEC Proposals on Standards of Conduct for Broker-Dealers and Investment Advisers The SEC voted 4...

[31165] April 13, 2018 TO: ICI Members Accounting/Treasurers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Investment Advisers Money Market Funds Operations Portfolio Oversight Recordkeeping RE: SEC Staff...

[31138] March 20, 2018 TO: Small Funds Committee RE: Registration Now Open: Small Funds Webinar Update Meeting, 2:00 p.m. to 3:00 p.m. ET, April 24, 2018 Liquidity Rule – Small Funds Perspective Roundtable Please join us for a web-based roundtable discussion on April 24th from 2:00 p...